As a complement to our regulatory functions, FINRA offers securities professionals some of the industry's most valuable training and education.
Conferences & Events
Securities Conference | Small Firm Conference Series | NY Regulation & Compliance Conference | Advertising Regulation Conference | Fixed Income Conference | Phone-In Workshops | CCOutreach Broker-Dealer Program | District Preventive Compliance Events
Classroom Learning
Classroom Programs | FINRA Compliance Boot Camps
Online Learning
E-Learning Courses | Online Workshops | Podcasts | Webcasts
University Programs
FINRA Institute at Wharton | FINRA & University of Reading, UK
Upcoming Events
Conferences
- Small Firm Conference
September 23 (Chicago) - Regulation and Compliance Conference
September 9 - Advertising Regulation Conference
October 2-3 - Fall Securities Conference
October 22-24
FINRA Institute at Wharton:
- Phase III: Capstone
November 9-14
Classroom Learning:
- Capital Adequacy: Rule 15c3-1
September 24, 2008 - Customer Protection: Rule 15c3-3
September 25 - Anti-Money Laundering
October 2, 2008
E-Learning:
- Private Placements
- Anti-Money Laundering - Institutional: Recognizing Red Flags
- Anti-Money Laundering - Retail: Recognizing Red Flags
- AML—Operations: Recognizing Red Flags
Phone-in Workshops:
- Business Continuity Program
September 18, 2008
