FINRA Institute at Wharton – Week II

Date: November 10 – 15, 2013

Designed for the high-potential executive, Week II of the FINRA Institute at Wharton program delivers a comprehensive and rigorous course of instruction on the foundation, theory and practical application of securities laws and regulation. The program draws on the expertise of Wharton faculty, senior regulators and industry practitioners and brings together a diverse group of participants from securities firms, the legal profession, SEC, FINRA and other regulators to provide a unique learning experience for participants.

The Week II agenda provides exposure to University of Pennsylvania business and law school professors and financial industry experts who explore a series of advanced-level regulatory compliance topics.

After completing the course, participants should be able to:

• Assess the evolution of securities statutes and rules, including the Securities Exchange Act and the Investment Advisers Act
• Analyze suitability issues and apply solutions to suitability challenges
• Outline the scope, requirements and application of state securities laws
• Compare and contrast practices for regulatory interactions
• Assess implications of current regulatory challenges and future market trends
• Understand requirements related to securities trading
• Summarize FINRA and SEC standards that govern communications with the public, with a specific emphasis on electronic communications
• Explain the elements of an effective firm anti-money laundering program
• Analyze internal compliance and control systems and procedures