FINRA Institute at Wharton
Designed for the high-potential executive, the FINRA Institute at Wharton program delivers a comprehensive and rigorous course of instruction on the foundation, theory and practical application of securities laws and regulation. The program draws on the expertise of Wharton faculty, senior regulators and industry practitioners, and brings together a diverse group of participants from securities firms, the legal profession, SEC, FINRA and other regulators to provide a unique learning experience for participants.
The program is structured in three phases through which participants earn the 120 credits required for their Certified Regulatory and Compliance ProfessionalTM (CRCPTM) designation. The program must be completed in three years.
Phase I: Foundation (30 credits) – Develops a solid foundation of regulatory and compliance knowledge by focusing on securities law, regulatory structures and compliance frameworks. Participants take part in an intensive, weeklong session at the Wharton School’s state-of-the-art executive facility in Philadelphia.
Phase II: Core (60 credits) Delves into the core compliance topics critical to any compliance operation. CRCP candidates attend a series of half-day, full-day, and two-day courses offered at various locations across the country.
Phase III: Capstone (30 credits) – Builds on previous coursework by delving deeper into the nuances of securities law and by exploring intricate new case studies and topics. In this weeklong program at Wharton, participants explore a range of specialized topics to expand their knowledge of compliance and regulatory issues to more sophisticated levels.
An assessment exercise is administered at the conclusion of each Certificate Program course. Candidates must take and pass each of these assessment exercises to earn credit toward the FINRA Institute at Wharton Certificate Program.
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Only FINRA's Spring and Fall Securities Conferences are open to the media. All other FINRA conferences, pre-conferences, seminars, and other professional development courses are closed to the media.
