Compliance Outreach - Broker-Dealers

Through its Compliance Outreach Program, the SEC seeks to improve compliance by interacting with the compliance, audit, and other senior personnel at broker-dealer firms and branch offices.

The program is designed to provide a forum to discuss compliance issues in a practical way by sharing experiences and emphasizing the importance of compliance throughout a firm's business operations.

The program events for broker-dealers are typically co-sponsored by the SEC's Division of Examinations and its Division of Trading and Markets as well as the Financial Industry Regulatory Authority (FINRA).

• Archive of Past Compliance Outreach Events