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FINRA Institute at Wharton – Week I

August 18, 2013

The FINRA Institute at Wharton CRCP program, which is delivered through the Wharton School at the University of Pennsylvania, provides compliance, legal and regulatory professionals with an in-depth understanding of the foundation, theory and practical application of securities laws and regulation. The Week I Program is meant to provide a foundation, leveraged from case studies and interactive discussions to arm participants with a broad understanding of the financial services industry and financial regulations.


After completing the course, a participant should be able to:


  • Summarize and explain the application of selected securities statutes and rules, including the Securities Exchange Act and the Investment Company Act
  • Analyze suitability standards and their relation to investment recommendations and understand how to properly apply them
  • Discuss the importance of supervisory practices and internal controls
  • Explain specific ethical issues in the securities industry
  • Compare and contrast different types of financial products, including variable annuities, derivatives, mutual funds, money market funds and exchange-traded funds
  • Describe key types of proceedings in which brokers may face allegations of misconduct, including SEC and FINRA enforcement actions, private litigation and FINRA arbitration proceedings
  • Explain new developments in securities regulation, the securities industry and securities markets

Sessions include:

  • Broker-Dealer Litigation, Arbitration & Enforcement Proceedings
  • Broker-Dealer Structure and Supervision
  • Current Issues in Securities Regulation
  • Derivatives: Regulatory Issues
  • Investment Management and Mutual Funds
  • Enhancing Professional Conduct in the Financial Services Industry
  • Securities Law and Regulatory Structure
  • Suitability Issues
  • Update from the Regulators
  • Variable Annuities and Insurance


August 18, 2013
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