FINRA Washington, D.C.
1735 K Street, NW, Washington, D.C.
FINRA Half Day Compliance Boot Camp 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 … Continue reading FINRA Compliance Boot Camp – Washington D.C.→
FINRA District Office Jericho, N. Y.
Two Jericho Plaza
FINRA Half Day Compliance Boot Camp 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 … Continue reading FINRA Compliance Boot Camp – Jericho, New York→
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 … Continue reading FINRA Boot Camp: Philadelphia, PA – District 9A ( Philadelphia)→
FINRA Boca Raton District Office
5200 Town Center Circle Suite 200, Boca Raton, FL, United States
June 20, 2017 9 a.m. – 1:30 p.m. Half-Day Compliance Boot Camp FINRA District Office 5200 Town Center Circle Suite 200 Boca Raton, FL 33486 (561) 443-8000 $195 View More Information and Register Topics: Effective Practices for Working With Senior Investors Cybersecurity
Designed for compliance and legal professionals at FINRA member firms, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff. For more information including discussion topics, see the individual program descriptions below. August 10, 2017 9:30 a.m. – 1:30 p.m. Half-Day Compliance Boot … Continue reading FINRA Boot Camp: Woodbridge, NJ – District 9b→
Fairmont Miramar Hotel & Bungalows
101 Wilshire Boulevard, Santa Monica, CA
This class is designed for staff at broker-dealer firms and/or service providers that are new to reporting Disclosure information in Web CRD or those who want to receive refresher training and reporting tips. The training is an in-depth session focusing on interpreting and complying with disclosure reporting requirements on individual and organizational form filings. Pertinent … Continue reading FINRA Registration and Disclosure Boot Camp→
Two Jericho Plaza
2nd Floor, Wing A, Jericho, NY, United States
Designed for compliance and legal professionals at FINRA member firms, these events offer an opportunity to hear about current regulatory issues while engaging in a direct dialogue with FINRA District Office staff. For more information including discussion topics, see the individual program descriptions below. October 19, 2017 9:30 a.m. – 1:30 p.m. Half-Day Compliance Boot … Continue reading FINRA Boot Camp – District 10 Long Island – Jericho, New York→
