Classroom Learning

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

Classroom learning participants deepen their knowledge of securities laws and regulations, examine best practices for current legal and regulatory requirements, and acquire practical new skills they can apply immediately on the job.

 

Offered in convenient locations across the country, Classroom Learning is ideal for compliance professionals, regulators, branch managers and supervisors, risk managers, attorneys, auditors, underwriters, accountants and others. Many of the 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.

 

• Classroom Programs
• FINRA Compliance Boot Camps