National Compliance Outreach Program for Broker-Dealers
Past Programs
2019 National Compliance Outreach Program for Broker-Dealers
The 2019 National Compliance Outreach Program for Broker-Dealers was held on June 27, 2019, at the Federal Reserve bank of Chicago. This was a one-day program intended for compliance, audit, and other senior personnel of broker-dealer firms and branch offices. The program provided an open forum for regulators and industry professionals to share strong compliance practices and promote the exchange of ideas to develop a more effective compliance structure. The program is sponsored by the SEC's Division of Examinations, in coordination with the SEC's Division of Trading and Markets and the Financial Industry Regulatory Authority (FINRA).
The program focused on insights from leadership, protecting retail investors, and regulatory hot topics such as digital assets and cyber-security:
Information is also available at the FINRA website: http://www.finra.org/industry/2019-national-compliance-outreach-program-broker-dealers
2017 National Compliance Outreach Program for Broker-Dealers
The 2017 National Compliance Outreach Program for Broker-Dealers was held on July 27, 2017, in Washington, DC. This was a one-day program intended for compliance, audit, and other senior personnel of broker-dealer firms and branch offices. The program provided 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 Division of Examinations, in coordination with the SEC's Division of Trading and Markets and the Financial Industry Regulatory Authority (FINRA).
The program focused 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 discussed the regulatory environment.
2016 Regional Compliance Outreach Program for Broker-Dealers
The SEC's Division of 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 Francisco | 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 Division of Examinations, 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 Part 1
- Webcast Archive Part 2
- 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 Division of 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.
Last Reviewed or Updated: Dec. 17, 2020