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U.S. Securities and Exchange Commission

Compliance Outreach Program — Regional Seminars

The Regional Seminars are hosted by the SEC's regional offices or headquarters and are generally held in the Spring and Summer in various cities throughout the country and, occasionally, abroad. These seminars are intended to address more of the "nuts and bolts" of compliance-related issues and are typically limited to 50 to 120 in-person attendance. The seminars are also widely available to participants via webcast. The topics may be most beneficial for mid-size and smaller adviser Chief Compliance Officers and other senior officers of firms. The Regional Seminars often include question and answer sessions and, given their smaller size and narrow focus, are more conducive to audience interaction and detailed discussions than the National Seminar. These seminars enable CCOs and other senior officers to get the information directly from their local SEC office.

Availability of Continuing Education Credits for CPAs Attending National and Regional Compliance Outreach Seminars

As of November 2006, the Compliance Outreach Program National and Regional Seminars are 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 generally 7 hours and the Regional Programs are generally 1.5 to 3 hours, with the majority of credits in specialized knowledge and applications. Participants and panelists who are certified public accountants are eligible to receive CPE credits based on their in-person participation in the program and CPE credits are sometimes available for those web-based participants viewing the events live. Participants viewing archived events will not be offered CPE credits. Application forms will be available for each program.

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 concerns about earning CPEs at these programs, please contact Dennis Truskey (202-551-4259) to discuss/resolve the issue.

 

http://www.sec.gov/info/iaiccco/iaiccco-regionalseminar.htm

Modified: 04/17/2013