AGENDA

CCOutreach BD National Seminar
for Broker-Dealer Chief Compliance Officers

Registration and Continental Breakfast (7:45-8:45)
I.	Welcome and Opening Remarks (8:45-9:15) Welcome Lori Richards, Director, Office of Compliance Inspections and Examinations U.S. Securities and Exchange Commission Opening Remarks Chairman Christopher Cox U.S. Securities and Exchange Commission Opening Remarks Mary Schapiro, Chief Executive Officer Financial Industry Regulatory Authority
II.	The CCO's Role and Compliance Programs within the Organization (9:15-10:45)
Break (10:45-11:00)
III.	Conflicts of Interest (11:00-12:00)
Lunch (12:00-1:30)
IV.	Sales Practices (1:30-2:30)
Break (2:30-2:45)
V.	Annual Compliance Report (2:45-4:15)
VI.	Closing Remarks (4:15-4:30) Elisse Walter, Senior Executive Vice President, Regulatory Policy & Programs Financial Industry Regulatory Authority Erik Sirri, Director, Division of Trading and Markets U.S. Securities and Exchange Commission Lori Richards, Director, Office of Compliance Inspections and Examinations U.S. Securities and Exchange Commission

http://www.sec.gov/info/cco/ccobdagenda030708.htm