Availability of Continuing Education Credits for CPAs and Attorneys Attending the National and Regional CCOutreach BD Seminars

CPE Credit

The CCOutreach National and Regional Seminars have been designated as professional training programs for which certified public accountants may earn continuing professional education ("CPE") credits. The estimated CPE credits for attending the National Program are 5 hours and the Regional Programs are 3 hours, with all credits in specialized knowledge and applications. Students and instructors who are certified public accountants are eligible to receive CPE credits based on their participation in the program. Application forms will be available at each program.

The CCOutreach BD seminars are designed specifically to further promote strong compliance practices for the protection of investors. The programs will cover timely compliance topics for broker-dealer CCOs. After completing the National seminar, you should be able to further strengthen your firm's compliance program in the areas of the Chief Compliance Officer's role within the organization, conflicts, sales practices, and the Annual Compliance Report.

The U.S. Securities and Exchange Commission's Office of Compliance Inspections and Examinations is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417 or by visiting the website: www.nasba.org.

There are no prerequisites for these programs. No advance preparation for these programs is required and there is no charge to attend. You will be notified of any changes in the date, time, or cancellation of these programs. If you have any suggestions or complaints about earning CPEs at these programs, please contact Ed Stolle (OCIE-survey@sec.gov) to discuss/resolve the issue.

CLE Credit

In accordance with general SEC practice, we have not applied for CLE credits for CCO Outreach BD. If you would like to apply for CLE credit for your attendance at this event, you may contact your state bar. For your convenience, we have provided links to each state bar below, and, where available, to the forms needed to submit for CLE credit.

http://www.sec.gov/info/cco/bdcco_cpecle.htm