Compliance Boot Camp Practical Applications
Space is limited and will be filled on a first-come, first-served basis.
| Cost |
Members - $945 Non-Members - $1295 |
|
| Duration | 2 Days | |
| Time | 8:00 am – 5:00 pm | |
| Location | Date | Code |
| Washington, DC | December 3-4 | CL0291 |
Compliance Boot Camp Practical Applications provides in-depth, hands-on instruction in the practical application of compliance concepts. The course builds on subject matter covered during Compliance Boot Camp. Participants develop sample supervisory procedures, calculate net capital, write suspicious activity reports and practice other compliance activities. Participants are required to complete 10-12 hours of assigned pre-course readings and online self-study prior to attending the in-person session. Compliance Boot Camp is not a prerequisite for this course.
After completing this program, you will be able to:
- Illustrate when updates to your firm's written supervisory procedures (WSPs) are needed and apply effective practices when updating them
- Properly process, report and track customer complaints
- Write and submit an effective suspicious activity report form (SAR-SF)
- Summarize the requirements of FINRA’s markup policy rules and analyze pricing and markup factors
- Define the components of net capital and perform net capital calculations
- Apply sales communication standards to advertisements and other communications with the public
Program Requirements
|
December 3-4 Washington, DC |
|
| Live Webinar: Introduction and program overview | November 13 |
| Self-Study: Complete online learning and reading materials (10-12 hours of work) | November 10-27 |
| Classroom Session: Attend two-day course and complete in-class multiple-choice test |
December 3-4 Academy for Educational Development |
How to Enroll
| Online | Online enrollment is for credit card transactions ONLY. To enroll using this method, complete the online enrollment form. |
| Print out and complete the downloadable enrollment form. Please be sure to select the program that you plan to attend. Send payment and form to the address below with a check made payable to FINRA: FINRA Conference Registration Attn: FINRA Compliance Boot Camp Practical Applications P.O. Box 7777-W8440 Philadelphia, PA 19175-8440 |
|
| Fax | Fax enrollment is for credit card transactions ONLY. Fax the completed downloadable enrollment form to FINRA at (202) 728-6956. Please be sure to select the program that you plan to attend. |
| Phone | (212) 858-4119 |
Payment is required at the time you enroll. Enrollment without payment is considered incomplete. Also, enrollment forms may not be sent via overnight mail. Checks are sent directly to a bank lockbox, and P.O. boxes will not accept courier or overnight deliveries.
Enrollment Confirmation: You will receive an email confirmation of your enrollment within two weeks of receipt of your completed form and payment. Please make sure your enrollment has been confirmed prior to your arrival onsite.
Note: FINRA suggests that you do not purchase restricted or nonrefundable tickets for travel, especially prior to receipt of your enrollment 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.
Cancellation Policy: Refunds for registration, less a $75 processing fee, will be granted to written requests received up to day before the in-person program.
Questions: If you have questions, call (212) 858-4119.
Only The FINRA Annual Conference is open to the media. All other FINRA conferences, pre-conferences, classroom learning, compliance boot camps, and FINRA Institute at Wharton are closed to the media.
