2025 Program Dates: July 13 – 18
This intensive five-day course takes place at Georgetown University's McDonough School of Business in Washington, DC. Taught by Georgetown University business and law school professors, industry professionals, and regulators, this foundational course leverages case studies and interactive discussions to arm participants with a broad understanding of the financial services industry and financial regulations.
After completing this course, you will be able to:
- summarize and explain the application of selected securities statutes and rules, including the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940;
- 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; and
- explain new developments in securities regulation, the securities industry and securities markets.
Pre-Course Work
Candidates are assigned materials to review in advance of the course work—including rules, regulations, compliance and regulatory guidance, and other relevant readings. Pre-course work is sent out approximately 30 days before each program. There is approximately 20-30 hours of pre-reading per week-long course.
Sessions
View the schedule at-a-glance and session descriptions for the July 2024 course.
Course Assessment
On the final day of Week I, participants must complete a written assessment. Participants who pass both Week I and II assessments are awarded the CRCP designation.
2025 Registration Fees
In-Person Rates
Price includes registration fees, hotel accommodations, meals and materials.
Program registration is limited and available on a first-come, first-served basis. Payment is required at the time your registration is submitted. You will receive an email confirmation of your completed registration form and payment.
The course schedule is subject to change. Continue to visit this website for the most up-to-date information.
CFP and CLE Credit
Course attendees may receive CLE and CFP credits.
Payment Options
Full payment is required at the time of registration and can be made by check, wire transfer or credit card. To pay by check or wire transfer, please contact our Meetings and Conference Services Department by email.
Cancellation Policy
Full refunds for registration will be granted to written requests received 30 days or more prior to the start date of each course. A partial refund (50% of the registration fee) will be granted for written cancellation requests received within 30 days of the start date of the course.
Traveling Guidance
We suggest that you do not purchase restricted or non-refundable tickets for travel to a course. FINRA assumes no liability for penalties or fare increases should a course sell out or in the unlikely event that a course is cancelled or rescheduled for any reason.