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U.S. Securities and Exchange Commission

The 2015 National Compliance Outreach Program for Broker-Dealers

U.S. Securities and Exchange Commission
100 F Street, N.E.
Washington, D.C. 20549
July 14, 2015

The 2015 National Compliance Outreach Program for Broker-Dealers is a one-day program intended for compliance, audit, and risk officers of broker-dealer firms and branch offices.  The program provides an open forum for regulators and industry professionals to share strong compliance practices and promote the exchange of ideas to develop an effective compliance structure.  The program is sponsored by the SEC’s Office of Compliance Inspections and Examinations (OCIE), in coordination with the SEC’s Division of Trading and Markets and the Financial Industry Regulatory Authority (FINRA).

The program will focus on 2015 program priorities as well as current topics of interest including cybersecurity, anti-money laundering, and firm approach to supervision and sales practices in branch offices.

Information is also available at the FINRA website:  http://www.finra.org/industry/compliance-outreach-program


2014 Regional Compliance Outreach Program for Broker-Dealers

The 2014 Regional Compliance Outreach Program for Broker-Dealers was designed for risk, audit, legal and compliance professionals employed by broker-dealers. Its focus was to promote strong compliance practices for the protection of investors. The SEC's Office of Compliance Inspections and Examinations, in coordination with the SEC's Division of Trading and Markets, partnered with FINRA to sponsor the programs.

In 2014, FINRA and the SEC hosted the Regional Compliance Outreach Program for Broker-Dealers in Denver, Los Angeles, Chicago, Miami, Philadelphia and New York. Each program addressed current issues in compliance and regulation and provided broker-dealer professionals the opportunity to ask questions and interact with staff from national and regional SEC and FINRA offices.

Location Date Venue Agenda

Denver

April 30, 2014

Sheraton Denver Tech Center Hotel

2014 Program

Los Angeles

April 30, 2014

Omni Los Angeles Hotel at California Plaza

2014 Program

Chicago

June 4, 2014

Federal Reserve Bank of Chicago

2014 Program

Miami

June 4, 2014

SEC Miami Regional Office

2014 Program

Philadelphia

June 16, 2014

Federal Reserve Bank of Philadelphia

2014 Program

New York

June 30, 2014

United Federation of Teachers

2014 Program


2013 National Compliance Outreach Program for Broker-Dealers

The 2013 National Compliance Outreach Program for Broker-Dealers addressed effective compliance practices and timely regulatory issues. It focused on large firm issues and featured topics such as enterprise risk management, net capital compliance as well as sales and trading practices.

View the April 2013 agenda >

View webcast of the event >

http://www.sec.gov/info/complianceoutreach-bd.htm

Modified: 07/14/2015