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.
To register for a program, click the location below.
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.