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U.S. Securities and Exchange Commission

2014 Regional Compliance Outreach Program for Broker-Dealers

The Regional Compliance Outreach Program for Broker-Dealers is designed for risk, audit, legal and compliance professionals employed by broker-dealers. Its focus is 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, will partner with FINRA to sponsor the programs.

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

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.

Registration Information

To register for a program, click the location below.

Location Date Venue Agenda

Denver

April 30, 2014

Sheraton Denver Tech Center Hotel
7007 S Clinton Street
Greenwood Village, CO 80112
(303) 799-6200

2014 Program

Los Angeles

 

April 30, 2014

Omni Los Angeles Hotel at California Plaza
251 South Olive Street
Los Angeles, CA 90012
(213) 617-3300

2014 Program

Chicago

June 4, 2014

Federal Reserve Bank of Chicago
230 South LaSalle Street
Chicago, IL 60604
(312) 322-5322

Available in May

Miami

June 4, 2014

SEC Miami Regional Office
801 Brickell Avenue
17th Floor Conference Room
Miami, FL 33131
(305) 982-6300

Available in May

Philadelphia

June 16, 2014

Federal Reserve Bank of Philadelphia
10 Independence Mall
Philadelphia, PA 19106
(215) 574-6000

Available in May

New York

 

June 30, 2014

United Federation of Teachers
52 Broadway
New York, NY 10004
(212) 598-9267

Available in May

For questions, please send an email to the SEC or FINRA.

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 >

http://www.sec.gov/info/complianceoutreach-bd.htm

Modified: 03/14/2014