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Announcement

SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers

May 8, 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 Office of Compliance Inspections and Examinations (OCIE), in coordination with the SEC’s Division of Trading and Markets and the Financial Industry Regulatory Authority (FINRA).

View the Press Release: SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers

View Event Information: http://www.sec.gov/info/complianceoutreach-bd.htm

Last Reviewed or Updated: May 8, 2015