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U.S. Securities and Exchange Commission

Compliance Outreach Program — National Seminar

The National Seminar is held at SEC headquarters in Washington, DC (generally in the Fall or Winter) and covers various broad topics applicable to larger advisory firms and investment companies. The topics focus on compliance-related issues relevant for Chief Compliance Officers (CCOs) and other senior officers of larger advisers and may also include topics that relate to investment companies. This seminar consists of panel discussions among SEC staff, CCOs and other industry representatives. SEC panelists generally include staff from the Office of Compliance Inspections and Examinations (including examination staff from various regional offices), Division of Investment Management, the Division of Enforcement's Asset Management Unit ("AMU") and other SEC offices or divisions. Industry panelists are generally CCO and senior officers, with particular importance placed on including firms ranging in asset size, services and products offered, and complexity. The National Seminar is open to approximately 500 in-person attendees and is available via live and archived audio webcast. In-person attendees can submit question cards, which the various panels will attempt to address, time permitting.

If you are a CCO or other senior officer and are interested in speaking at future National Seminars or have suggestions for panel discussions, please send an email to ComplianceOutreach@sec.gov.

Availability of Continuing Education Credits for CPAs Attending National and Regional Compliance Outreach Seminars

As of November 2006, the Compliance Outreach Program National and Regional Seminars are designated as professional training programs for which certified public accountants may earn continuing professional education ("CPE") credits. The estimated CPE credits for attending the National Program are generally 7 hours and the Regional Programs are generally 1.5 to 3 hours, with the majority of credits in specialized knowledge and applications. Participants and panelists who are certified public accountants are eligible to receive CPE credits based on their in-person participation in the program and CPE credits are sometimes available for those web-based participants viewing the events live. Participants viewing archived events will not be offered CPE credits. Application forms will be available for each program.

The U.S. Securities and Exchange Commission's Office of Compliance Inspections and Examinations is registered with the National Association of State Boards of Accountancy ("NASBA") as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417 or by visiting the website: www.nasba.org.

There are no prerequisites for these programs. No advance preparation for these programs is required and there is no charge to attend. You will be notified of any changes in the date, time, or cancellation of these programs. If you have any suggestions or concerns about earning CPEs at these programs, please contact Dennis Truskey (202-551-4259) to discuss/resolve the issue.

 

http://www.sec.gov/info/iaiccco/iaiccco-nationalseminar.htm

Modified: 12/13/2013