Broker-Dealer CCOutreach Program

The CCOutreach BD program for broker-dealer chief compliance officers (CCOs) (or their senior compliance staff, where CCOs cannot attend) endeavors to foster robust compliance programs. The program is sponsored jointly by the SEC's Office of Compliance Inspections and Examinations, in coordination with the Division of Trading and Markets, and FINRA.

Seminars

National Seminar — coming January 26, 2010

CCOutreach National Seminar for Broker Dealer, Investment Adviser, and Investment Company Chief Compliance Officers
SEC Headquarters
Washington, D.C.

The 2010 CCOutreach National Seminar addresses compliance risks and effective compliance controls. Panelists include: Staff from the SEC's Office of Compliance Inspections and Examinations, Division of Trading and Markets, Division of Investment Management and various regional offices; compliance professionals from medium/large and institutional broker-dealers, investment advisers and investment companies; and Staff from FINRA's Member Regulation and District Offices.

The National Seminar will be webcast live, with a limited number of ports, on January 26, 2010. Webcast details are available at www.sec.gov/info/
bdccoutreach.htm. There is no charge to attend the CCOutreach National Seminar or to access the webcast. CPE credits are available for those who attend in-person. CLE credits are not available.

2010 Regional Seminars

In 2010, FINRA and SEC staff are hosting five CCOutreach BD Regional Seminars. Each program addresses current issues in compliance and regulation and provides CCOs the opportunity to ask questions and interact with presenters and staff from their local SEC and FINRA offices.

There is no cost to attend a Regional Seminar, but space is limited with priority given to CCOs on a first come, first served basis.

Registration for these events will open in early 2010.

For questions, please send an email to FINRA or the SEC.