The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) have announced the dates and have begun registration for the 14 regional CCOutreach BD seminars aimed at helping broker-dealer compliance officers do their job.
The regional seminars, to be held by SEC and FINRA staff, are a follow-up to the inaugural national seminar that was held last Friday at SEC headquarters in Washington, D.C. They will be held from April through July at sites nationwide.
Panel discussions at the seminars will cover such topics as the SEC examination process and priorities, as well as FINRA's examination program and findings. They also will include highlights from topics covered at the March national seminar, along with question-and-answer sessions with local SEC and FINRA staff.
"We created the regional seminars with the hope that the smaller, more personal atmosphere will encourage the CCOs who take part to meet and discuss important compliance issues with their local regulators," said Lori Richards, Director of the SEC's Office of Compliance, Inspections and Examinations.
For more information, contact: www.sec.gov/info/bdccoutreach.htm or www.finra.org/bdccoutreach. These regional compliance seminars for broker-dealer compliance personnel are different from the regional seminars provided for investment advisor and investment company compliance personnel. Seating is limited, with priority given to broker-dealer chief compliance officers on a first-come, first-registered basis.