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SEC, FINRA Announce 2011 National Seminar for Broker-Dealer CCOs


Washington, D.C., Oct. 22, 2010 — The Securities and Exchange Commission and Financial Industry Regulatory Authority (FINRA) today announced that the annual CCOutreach BD National Seminar will be held on Feb. 8, 2011, at the SEC's Washington, D.C., headquarters.

The seminar helps provide a forum for discussion on effective compliance practices and timely compliance issues in ever-changing markets. It will help broker-dealer chief compliance officers (CCOs) effectively communicate compliance risks, maintain compliance controls, and foster robust compliance programs within their firms — all for the benefit of investors.

"The CCOutreach BD program has proven invaluable in helping the SEC understand the needs and concerns of compliance officers," said Carlo di Florio, Director of the SEC's Office of Compliance Inspections and Examinations (OCIE). "In this time of regulatory changes, it is more important than ever to maintain effective communication between regulators and the industry and to reinforce our commitment to prevent securities laws violations and better serve investors."

FINRA Member Regulation EVP Susan Axelrod said, "FINRA is pleased to continue the partnership with the SEC to provide this opportunity for broker-dealer compliance chiefs and regulators to foster open lines of communication, share information and work together. Given the comprehensive changes now underway throughout the industry, face-to-face meetings of this kind are more valuable than ever."

OCIE, in coordination with the SEC's Division of Trading and Markets, sponsors the CCOutreach BD program together with FINRA. Panelists at the CCOutreach BD National Seminar will include SEC and FINRA staff and CCOs from broker-dealer firms. The seminar will feature relevant topics for broker-dealer CCOs or senior compliance staff if CCOs cannot attend.

The SEC and FINRA staff are requesting input from CCOs on topics to discuss in order to make the National Seminar a practical and informative experience. There is no cost to attend the National Seminar, but attendance is limited to 500 with priority given to broker-dealer CCOs on a first-come, first-serve basis. The event also will be webcast on the SEC website. Registration for the seminar will begin next month.

Additional details about the CCOutreach BD program and the National Seminar are available on the SEC website and the FINRA website.

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Modified: 10/22/2010