Compliance Outreach Program
May 12, 2017
The Compliance Outreach Program keeps the communication lines open between the SEC and registrants. The program provides forums to discuss compliance issues in a practical way, share information, and learn about effective compliance practices.
Region-specific events are hosted at various locations across the country. National events are typically held at the SEC's headquarters in Washington, D.C.
Outreach Initiatives for Specific Market Participants
Outreach Initiatives for Specific Topics
In addition to holding events geared toward specific market participants, the Compliance Outreach Program conducts outreach that is tailored for compliance with specific rules that affect several types of registrants.
- Regulation S-P - The SEC is hosting a series of events to help investment advisers, broker-dealers, and transfer agents prepare for compliance with amendments to Regulation S-P that the Commission adopted in 2024 to enhance protection of customer information.
Last Reviewed or Updated: Dec. 5, 2025