Phase III: Capstone

Over five days, Wharton professors explore a series of advanced-level regulatory and compliance topics that help participants build on previous courses. All FINRA Institute at Wharton certificate candidates are required to complete this weeklong course, which takes place onsite at the Wharton School in Philadelphia.


After completing this program, you will be able to:

 

  • Assess the evolution of securities statutes and rules, including the Securities Exchange Act, the Investment Advisers Act, the Securities Investor Protection Act and the Trust Indenture Act
  • Describe the effective oversight of mutual fund products and related compliance and regulatory issues
  • Summarize regulatory standards for the distribution and sale of variable insurance products
  • Understand financial derivatives, and their associated compliance and regulatory issues
  • Analyze suitability issues and apply solutions to suitability challenges
  • Assess and implement internal controls, supervisory tasks and systems
  • Outline the scope, requirements and application of state securities laws
  • Compare and contrast practices for regulatory interactions
  • Assess implications of current regulatory challenges and future market trends

 

2008 Schedule & Fees

  

November 9 - 14, 2008 Phase III: Capstone
Register Now - Agenda (PDF 42 KB)		 Philadelphia, PA Member - $5,500*
Non-Member - $6,300*


* Price includes registration fees, hotel accommodations, meals and materials.

 

Other Registration Options & Cancellation Policy

 

FINRA Institute at Wharton Frequently Asked Questions

 

Questions or Comments? Contact Us  

 

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.