FINRA Disclosure Reporting Boot Camp Schedule & How to Register

FINRA In-Person Disclosure Reporting Boot Camp (Fee $600 per person*): includes two days of in-person training on reporting disclosure events for registered individuals. This training is designed for compliance personnel at FINRA member firms who are new to submitting disclosure filings in FINRA Gateway or want to review best practices for reporting disclosable events.

The two days of in-person firm training offers comprehensive training on topics like determining reportability, submitting filings, and responding to FINRA disclosure letters. The format of the training will be live discussion with a panel of subject matter experts in a conference room environment. Attendees have the option to bring their own laptops and personal system login. Breakfast and lunch are provided. Space is limited, so register early.

Session Topics

  • Onboarding and Public Records
  • CHRI and Court Documents
  • U4/U5 Disclosure Questions
  • Determining Reportability
  • Completing Disclosure Reporting Pages (DRP)
  • Responding to Disclosure Letters
  • BrokerCheck Scope
  • Intro to Rule 4530 Reporting

Note: This in-person training session is intended for compliance and registration staff at FINRA member firms with current entitlement to FINRA Gateway. If you are not currently a firm user with entitlement to FINRA Gateway, please contact FINRA so we can better assess your specific training needs.

Sessions

THESE ARE THE FINAL DATES FOR 2024. PLEASE CHECK BACK IN JANUARY 2025 FOR NEXT YEAR’S SCHEDULE.

Washington, DC
October 16-17, 2024
8 a.m. to 5 p.m. ET
(See also Registration Systems Foundation held October 15)
SOLD OUT

(*Each attendee must complete a separate registration and pay the per person registration fee. Individuals who have not paid the registration fee and received a confirmation email will not be able to attend.)

Cancellation Policy

Sessions are subject to cancellation based on the number of participants. We will notify registrants of session cancellations at least 30 days prior to session start dates. Registration fees will be refunded upon FINRA cancellation of a session.

If a registrant wishes to cancel, the following cancellation policy will be followed.

Notification of Cancellation:

•    30+ days prior to the start date of the training session = 100% full refund of the Registration Fee
•    14 to 30 days prior to the start date of the training session = Full refund of the Registration Fee, less a $100.00 Cancellation Fee
•    Less than 14 days = No Refund

Travel Disclaimer: FINRA suggests that you do not purchase restricted or nonrefundable tickets for travel to the training, especially prior to receipt of your registration confirmation. FINRA assumes no liability for penalties or fare increases should the training sell out or in the unlikely event that changes to the training dates and/or location become necessary.

 

Important Pre-Event Information

COVID-19 Requirements for In-Person Attendees

As of January 30, 2023:

Health and Safety Requirements for FINRA Meetings and Conferences
To sustain a healthy and safe environment, FINRA will be using an approach based on CDC COVID-19 Community Levels (Low, Medium, High) for in-person meetings in line with FINRA’s COVID-19 policy. The current COVID-19 variants spread easily through airborne transmission. In addition, the current variants are more infectious than the original virus and can result in reinfections for those who might have been previously infected.

As part of our commitment to creating the safest possible environment for our in-person events, we strongly recommend that all attendees do the following for all in-person meetings regardless of the CDC COVID-19 Community Level:

  • Stay up to date with COVID-19 vaccinations, including all primary series doses and boosters for their age group.
  • Take a rapid COVID test prior to attending a meeting to ensure that you are not carrying the disease.
  • Wear a mask in indoor settings if you are at high risk for severe illness.

If the CDC COVID-19 Community Level is High in the location where the meeting will be held, we recommend that all attendees and staff:

  • Test negative to a rapid COVID-19 test within 24 hours of travel and in person interactions at the meeting or conference. 
  • Wear a mask.

The health requirements for each event may be affected by changes in the CDC COVID-19 Community Levels. You will be notified in advance of any changes to health requirements for this event if the CDC COVID-19 Community Levels change. You can monitor the CDC COVID-19 Community Levels for all locations in the country at https://www.cdc.gov/coronavirus/2019-ncov/your-health/covid-by-county.html.

 

Please contact FINRA with any questions about available training programs.