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Compliance Outreach Program — Regional Seminars

May 12, 2017

The Regional Seminars are hosted by the SEC's regional offices or headquarters and are generally held in the Spring and Summer in various cities throughout the country and, occasionally, abroad. These seminars are intended to address more of the "nuts and bolts" of compliance-related issues and are typically limited to 50 to 120 in-person attendance. The seminars are also widely available to participants via webcast. The topics may be most beneficial for mid-size and smaller adviser Chief Compliance Officers and other senior officers of firms. The Regional Seminars often include question and answer sessions and, given their smaller size and narrow focus, are more conducive to audience interaction and detailed discussions than the National Seminar. These seminars enable CCOs and other senior officers to get the information directly from their local SEC office.

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