FINRA Institute at Wharton Certified Regulatory and Compliance Professional™ (CRCP™) Program Small Firm Scholarship Application Instructions

ABOUT THE SCHOLARSHIP PROCESS

A subcommittee of the FINRA Small Firm Advisory Board (SFAB) will choose scholarship recipients through a blind selection. This means the identifying information you provide in the Applicant Information and Supervisor Information sections, such as your name or the name of your firm, will not be passed on to the SFAB subcommittee.

This application is your opportunity to communicate with the SFAB subcommittee why you are the best candidate for the CRCP Small Firm Scholarship. Additionally it is your opportunity to explain how the scholarship will help you and the industry as a whole. (Note: Spelling mistakes and incorrect grammar will NOT be corrected.)

In the Statement section of the application, limit your responses to professional/career related information only. Do not include personal (e.g., your name or location) or firm information (e.g., firm name, geographical location). Applications with identifying information will not be processed and will be returned to the applicant.

INSTRUCTIONS

  1. Complete each section of the application in its entirety. Short answer fields will expand as necessary.
  2. Save the application. To save the application, click “File” and then select “Save As.” Save the document in MS Word format (as a .doc or .docx file).
  3. Send the completed application, in its entirety, to FINRA via email as an attachment to . Do not send the application as a PDF.
  4. Applications must be submitted no later than Monday, October 10, 2016.

ELIGIBILITY REQUIREMENTS

Applicants for this scholarship must meet all of the following criteria:

  • hold a FINRA registration with a FINRA member firm that has 150 or fewer registered representatives;
  • have support by their supervisor to apply for a scholarship and the time commitments required to complete the program; and
  • perform job functions that include compliance and/or regulatory responsibilities.

ADDITIONAL INFORMATION

For additional information on the Small Firm CRCP Scholarship, please review the frequently asked questions at

If you are unable to email the application, or have additional questions or comments, please call us at (301) 590-6500 or email .

Certified Regulatory and Compliance ProfessionalTM (CRCPTM) Program

Small Firm Scholarship Application

Please complete all sections and email this document, in a Word format (not a PDF), to .

Applicant Information
Applicant Name: / Mr.Mrs.Ms.Dr. / Date:
Salutation / Last / First / M.I.
Title:
Firm Name:
Firm CRD#: / Individual CRD#:
Address:
Street Address / Suite/Floor
City / State / ZIP Code
Email: / Phone: / ( )
Approximately how many years have you been in a compliance role?
Years:
Job Responsibilities
Briefly describe your day-to-day job responsibilities. Do not include any personal or firm identifying information in this section.
Statement
Provide a brief statement (approximately 500 words) on why you should receive a scholarship to the FINRA Institute at Wharton. Consider including relevant experience, work with financial industry committees or groups, and how your participation in the CRCP program will benefit the financial services industry.
Do not include any personal or firm identifying information in this section.
CRCP History
Have you previously attended any portion of the CRCP program? / YesNo
Supervisor Information
Supervisor Name:
Title:
Email: / Phone: / ( )
My supervisor supports my application for the CRCP Small Firm Scholarship and will allow me to devote the time necessary to complete the CRCP Program.