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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: 07/02/2014