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

PLEASE CHECK BACK LATER IN 2025 FOR THE NEXT AVAILABLE SESSIONS.

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.

Please contact FINRA with any questions about available training programs.