2017 National Compliance Outreach Program for Broker-Dealers

The 2017 National Compliance Outreach Program for Broker-Dealers is a one-day program intended for compliance, audit, and other senior personnel of broker-dealer firms and branch offices. The program provides an open forum for regulators and industry professionals to share strong compliance practices and promote the exchange of ideas to develop an effective compliance structure. The program is sponsored by the SEC's Office of Compliance Inspections and Examinations (OCIE), in coordination with the SEC's Division of Trading and Markets and the Financial Industry Regulatory Authority (FINRA).

The program focuses on issues related to cybersecurity, senior investors, and regulatory hot topics such as anti-money laundering and recidivist brokers. Also, senior leaders from the SEC and FINRA discuss the regulatory environment.

View the Agenda

  • Registration for the 2017 National Compliance Outreach Program for Broker-Dealers is now open.
  • There is no cost to attend this event. In-person attendance is limited to 500 attendees on a first-come, first-served basis, with a maximum of ten attendees per firm.
  • The event will be webcast live on July 27, 2017 for those who cannot attend in person. CPE credits will be available to in-person attendees only.
  • When registering, please specify whether you will attend in-person or via webcast. If attending in person, it is recommended that you submit a current photo during the registration process.
  • For questions, please send an email to the SEC or FINRA.

Information is also available at the FINRA website: http://www.finra.org/industry/compliance-outreach-program

Past Programs

2016 Regional Compliance Outreach Program for Broker-Dealers

The SEC's Office of Compliance Inspections and Examinations, in coordination with the SEC's Division of Trading and Markets, will partner with FINRA to sponsor the 2016 Regional Compliance Outreach Program for Broker-Dealers. The program is designed for risk, audit, legal and compliance professionals employed by broker-dealers. The objective of the program is to promote strong compliance practices for the protection of investors.

The 2016 Regional Compliance Outreach Program for Broker-Dealers will take place in New York, Atlanta, Dallas, Boston, Chicago, and San Francisco. Each regional program will provide a forum for regulators and industry professionals of broker-dealer firms to discuss current regulatory issues and exchange ideas for effective compliance practices.

There is no cost to attend any program. Registration is limited and open to all risk, audit, legal and compliance professionals employed by broker-dealers on a first-come, first-served basis.

Location Date Venue Agenda
New York April 7, 2016
United Federation of Teachers

2016 Program
Atlanta April 20, 2016
Federal Reserve Bank of Atlanta
2016 Program
Dallas June 7, 2016
Federal Reserve Bank of Dallas
2016 Program
Boston June 14, 2016
Federal Reserve Bank of Boston
2016 Program
Chicago July 25, 2016
Federal Reserve Bank of Chicago
2016 Program
San Frncisco August 18, 2016 Federal Reserve Bank of San Francisco
2016 Program

The 2015 National Compliance Outreach Program for Broker-Dealers

U.S. Securities and Exchange Commission
100 F Street, N.E.
Washington, D.C. 20549
July 14, 2015

The 2015 National Compliance Outreach Program for Broker-Dealers is a one-day program intended for compliance, audit, and risk officers of broker-dealer firms and branch offices.  The program provides an open forum for regulators and industry professionals to share strong compliance practices and promote the exchange of ideas to develop an effective compliance structure.  The program is sponsored by the SEC’s Office of Compliance Inspections and Examinations (OCIE), in coordination with the SEC’s Division of Trading and Markets and the Financial Industry Regulatory Authority (FINRA).

The program will focus on 2015 program priorities as well as current topics of interest including cybersecurity, anti-money laundering, and firm approach to supervision and sales practices in branch offices.

  • Agenda
  • Speaker Biographies
  • Resource List
  • Webcast Archive
  • There is no cost to attend the event.  In-person attendance is limited to 500 attendees on a first-come, first-served basis, with a maximum of ten attendees per firm.
  • When registering, please specify whether you will attend in-person or via webcast.
  • Both in-person and webcast viewers will be able to provide feedback after the event to help us plan future programs.
  • For questions, please send an email to the SEC or FINRA.

Information is also available at the FINRA website:  http://www.finra.org/industry/compliance-outreach-program

2014 Regional Compliance Outreach Program for Broker-Dealers

The 2014 Regional Compliance Outreach Program for Broker-Dealers was designed for risk, audit, legal and compliance professionals employed by broker-dealers. Its focus was to promote strong compliance practices for the protection of investors. The SEC's Office of Compliance Inspections and Examinations, in coordination with the SEC's Division of Trading and Markets, partnered with FINRA to sponsor the programs.

In 2014, FINRA and the SEC hosted the Regional Compliance Outreach Program for Broker-Dealers in Denver, Los Angeles, Chicago, Miami, Philadelphia and New York. Each program addressed current issues in compliance and regulation and provided broker-dealer professionals the opportunity to ask questions and interact with staff from national and regional SEC and FINRA offices.

Location Date Venue Agenda
Denver April 30, 2014 Sheraton Denver Tech Center Hotel 2014 Program
Los Angeles April 30, 2014 Omni Los Angeles Hotel at California Plaza 2014 Program
Chicago June 4, 2014 Federal Reserve Bank of Chicago 2014 Program
Miami June 4, 2014 SEC Miami Regional Office 2014 Program
Philadelphia June 16, 2014 Federal Reserve Bank of Philadelphia 2014 Program
New York June 30, 2014 United Federation of Teachers 2014 Program

2013 National Compliance Outreach Program for Broker-Dealers

The 2013 National Compliance Outreach Program for Broker-Dealers addressed effective compliance practices and timely regulatory issues. It focused on large firm issues and featured topics such as enterprise risk management, net capital compliance as well as sales and trading practices.

View the April 2013 agenda >

View webcast of the event >