Classroom Learning

Learn About Regulatory Compliance in Live, Interactive Settings Designed to Keep You Competitive in a Fast-Moving Industry

Classroom learning programs are in-person sessions that help participants enhance their understanding of compliance responsibilities. Through these programs, participants learn securities laws and regulations, examine practices for current legal and regulatory requirements, and acquire practical new skills they can apply immediately on the job.

 

Classroom learning is ideal for compliance professionals, regulators, branch managers and supervisors, risk managers, attorneys, auditors, underwriters, accountants and others. Courses qualify for CPE credits or credit toward the FINRA Institute at Wharton Certified Regulatory and Compliance Professional™ (CRCP™) Program.

 

In addition, FINRA also offers Boot Camp programs that allow participants to get up to speed quickly on the fundamentals of securities regulation and compliance. These programs feature a rigorous combination of self-study, classroom training and assessment testing. FINRA Boot Camps are ideal for staff members who are new to compliance or to the securities industry.

 

View detailed information below or download the PDF version of the Education and Training Catalog (PDF 262 KB).