FINRA Institute at Wharton
Certified Regulatory and Compliance Professional™ (CRCP™) Program
The FINRA Institute at Wharton CRCP Program—which is delivered through the Wharton School at the University of Pennsylvania—provides compliance, legal and regulatory professionals with an in-depth understanding of the foundation, theory and practical application of securities laws and regulation.
For more information about the program, view the FINRA Institute at Wharton brochure (PDF 898 KB) and the detailed session descriptions (PDF 806 KB) or read below.
High-potential personnel with executive-level aspirations who participate in the program benefit from:
- Rigorous instruction on securities laws and the theory behind securities regulation
- Instruction from top-tier Wharton school faculty, industry experts and regulators
- Learning alongside a diverse group of participants
- Practical applications of current compliance and regulatory issues
- Life-long networking relationships with industry peers and regulators
- Credibility that comes from earning the designation of Certified Regulatory and Compliance Professional (CRCP)
The full program requires 20 days of classroom education over a one- to three-year period, and includes pre-course reading assignments and assessment exercises that candidates must take and pass to earn credit.
Program Elements and Requirements
Phase I: Foundation—A weeklong residential program at Wharton in Philadelphia that fosters a broad understanding of the financial services industry and financial regulation.
Phase II: Core—Half, one-, two- and five-day sessions that focus on the practical application of core compliance topics, including ethics, AML, supervision and others.
Phase III: Capstone—A second weeklong residential course at Wharton that covers the nuances of securities law and more complex regulatory compliance issues.
FINRA requires all Certified Regulatory and Compliance Professional (CRCP) Program participants to complete the CRCP Candidate Form. Declaring candidacy indicates your interest in matriculating through the program. It is non-binding and you may withdraw at any time. If you do not wish to be a CRCP candidate at this time, please check one of the other two boxes and return the form.
- FINRA Institute at Wharton CRCP Continuing Education Requirement
- FINRA Institute at Wharton Frequently Asked Questions
- Registration & Cancellation Policy
- CRCP Scholarship Program
- CRCP Alumni Information
National Emergency Grant (NEG) Program
The FINRA Institute at Wharton is an eligible training provider under the National Emergency Grant (NEG) program. Individuals who were displaced from certain New York-area financial services firms may be eligible to receive a grant to participate in the CRCP program. For more information, contact us at (212) 858-4119 or send an email.
Questions or Comments? Contact Us
Only FINRA’s 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.
