FINRA Institute at Wharton – Week I

The FINRA Institute at Wharton CRCP program, which is delivered through the Wharton School at the University of Pennsylvania, provides compliance, legal and regulatory professionals with an in-depth understanding of the foundation, theory and practical application of securities laws and regulation. The Week I Program is meant to provide a foundation, leveraged from case studies and interactive discussions to arm participants with a broad understanding of the financial services industry and financial regulations.

After completing the course, a participant should be able to:

• Summarize and explain the application of selected securities statutes and rules, including the Securities Exchange Act and the Investment Company Act
• Analyze suitability standards and their relation to investment recommendations and understand how to properly apply them
• Discuss the importance of supervisory practices and internal controls
• Explain specific ethical issues in the securities industry
• Compare and contrast different types of financial products, including variable annuities, derivatives, mutual funds, money market funds and exchange-traded funds
• Describe key types of proceedings in which brokers may face allegations of misconduct, including SEC and FINRA enforcement actions, private litigation and FINRA arbitration proceedings
• Explain new developments in securities regulation, the securities industry and securities markets

Sessions include:

• Broker-Dealer Litigation, Arbitration & Enforcement Proceedings
• Broker-Dealer Structure and Supervision
• Current Issues in Securities Regulation
• Derivatives: Regulatory Issues
• Investment Management and Mutual Funds
• Enhancing Professional Conduct in the Financial Services Industry
• Securities Law and Regulatory Structure
• Suitability Issues
• Update from the Regulators
• Variable Annuities and Insurance