Compliance Outreach Program National Seminar
Tuesday, January 31, 2012

Trading Practices (Session 2)

See also:

• Introductory Remarks and Compliance and Enterprise Risk Management (Session 1)
• Dodd-Frank Wall Street Reform and Consumer Protection Act (Session 3)
• Enforcement-Related Matters (Session 4)
• Safety and Soundness of Client Assets/Custody and Closing Remarks (Session 5)

Additional Webcast Archives

• Windows Media Player, Intro and Compliance and Enterprise Risk Management (Session 1) (captioned version)
• Windows Media Player, Trading Practices (Session 2) (captioned version)
• Windows Media Player, Dodd-Frank Wall Street Reform and Consumer Protection Act (Session 3) (captioned version)
• Windows Media Player, Enforcement-Related Matters (Session 4) (captioned version)
• Windows Media Player, Safety and Soundness of Client Assets/Custody and Closing Remarks (Session 5) (captioned version)

Additional Information

• Press Release
• Compliance Outreach Program for Investment Advisers and Investment Companies
• Agenda
• Speaker Biographies
• Slide Presentation by Erozan Kurtas

Webcast Links and Software

Viewing SEC live and archived webcasts requires free Adobe Flash Player or Windows Media Player software, which are usually already installed as browser plug-ins, requiring no additional installation. The players can be downloaded from the following links if needed:

• Download Adobe Flash Player
• Download Windows Media Player

http://www.sec.gov/news/otherwebcasts/2012/complianceoutreachns013112-2.shtml