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Printer-Friendly FINRA Compliance Boot Camp

Summer Program 1: June 12-13, 2008 • Washington, DC
Summer Program 2: July 17-18, 2008 • Atlanta, GA
Fall Program: October 6-7, 2008 • Chicago, IL

Enrollment for the program in Atlanta, GA is open now through June 16.

Space is limited and is available on a first-come, first-served basis.

The Compliance Boot Camp covers basic regulatory requirements and compliance responsibilities-including registration, regulatory filings, anti-money laundering regulations, sales communications standards, regulatory inquiries and exams, supervisory procedures, and complaint handling-and helps prepare newer staff for a role in their firm's compliance function. Participants are required to complete 10-12 hours of assigned pre-course readings and online self-study prior to attending the in-person session.

Topics Covered:

The role of the compliance professional
Registration, qualifications and continuing education
Suitability and sales practices
Supervision, supervisory procedures and supervisory controls
Customer complaints handling
Sales communications standards and filing requirements
Anti-money laundering regulation
Preparing for a regulatory examination and responding to regulatory filings
Ethics, instilling a culture of compliance
Compliance resources

Don't miss this unique opportunity that helps rising compliance professionals master the basics.

Program Requirements

	Summer Program 1	Summer Program 2
Live Webinar: Introduction and program overview	May 16 (1:30 - 2:30 pm ET)	June 23 (1:30 - 2:30 pm ET)
Self-Study: Complete online learning and reading materials (10-12 hours of work)	May 17 - June 4	June 24 - July 9
Assessment: Complete and submit self-study assessment	June 4 (no later than)	July 9 (no later than)
Classroom Session: Attend two-day course and complete in-class multiple-choice test	June 12 - 13 George Washington University 1957 E St., NW Washington, DC 20006	July 17 - 18 The Westin Buckhead Atlanta 3391 Peachtree Rd., NE Atlanta, GA 30326

Enrollment and Fees

Members: $845
Non-Members: $1095

How to Enroll

Enrollment for the program in Atlanta, GA is now open

Online:	Online enrollment is for credit card transactions ONLY. To enroll using this method, complete the online enrollment form.
Mail:	Print out and complete the downloadable enrollment form and send payment and form to the address below with a check made payable to FINRA: FINRA Conference Registration Attn: FINRA Compliance Boot Camp 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.
Phone:	(212) 858-4119

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 by May 13, 2008 for the program in Washington, DC or by June 16, 2008 for the program in Atlanta, GA. We regret that refunds will not be granted after these dates.

Questions

If you have questions, call (212) 858-4119.

Only FINRA's Spring and Fall Securities Conferences are open to the media. All other FINRA conferences, pre-conferences and other professional development courses are closed to the media.