The 2017 National Compliance Outreach Program for Broker-Dealers is a one-day program intended for compliance, audit, and other senior personnel 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).
The program focuses 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 discuss the regulatory environment.
- Sunshine Act Notice
- Press Release
- Speaker Biographies
- Resource List
- Information regarding seminar
- Registration for the 2017 National Compliance Outreach Program for Broker-Dealers is now open.
- There is no cost to attend this event. In-person attendance is limited to 500 attendees on a first-come, first-served basis, with a maximum of ten attendees per firm.
- The event will be webcast live on July 27, 2017 for those who cannot attend in person. CPE credits will be available to in-person attendees only.
- When registering, please specify whether you will attend in-person or via webcast. If attending in person, it is recommended that you submit a current photo during the registration process.
- 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: FINRA