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FINRA Half-Day Compliance Boot Camp
October 9, 2013
Compliance Boot Camps
FINRA’s Compliance Boot Camps provide a broad view of essential compliance concepts. Through a combination of self-study and classroom training, participants gain valuable insights on compliance activities for immediate application to the workplace.
Half-Day Compliance Boot Camps
Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to the role or those looking to reinforce their understanding of regulatory requirements and compliance responsibilities.
| Date | Location and Venue | Topics | Registration |
|---|---|---|---|
| October 9, 2013 9 a.m. – 1:30 p.m. |
Philadelphia District Office 1835 Market St., Suite 1900 Philadelphia, PA 19103 |
Agenda (PDF 51 KB) | Register |
More Half-day Compliance Boot Camps are being added on a regular basis. Check this page frequently for additional programs.
Registration and Fees
The fee to participate in a Half-Day Compliance Boot Camp is $195, which includes materials, access to pre-course readings, continental breakfast and lunch. Half-Day Compliance Boot Camp programs are open only to employees of FINRA member firms. Participants must provide their firm’s broker-dealer number when registering.
To register for a Half-Day Compliance Boot Camp, click the registration link above. Space is limited and available on a first-come, first-served basis. Registration closes one week prior to each program.
Registration Confirmation
You will receive an email confirmation of your registration. Please make sure your registration has been confirmed prior to making travel arrangements or arriving at the event.
Note: FINRA suggests that you do not purchase restricted or nonrefundable tickets for travel, especially prior to receipt of your registration confirmation. FINRA assumes no liability for penalties or fare increases should the program sell out or in the unlikely event that changes to the date and/or location become necessary.