The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) announced they will host the second annual CCOutreach BD National Seminar on March 10, 2009, in Washington, D.C. The seminar is a forum on effective compliance practices and timely compliance issues in ever-changing markets.

Similar to the CCOutreach National Seminar for chief compliance officers (CCOs) of investment advisers and investment companies that's scheduled for Nov. 13, the CCOutreach BD National Seminar will help broker-dealer CCOs effectively communicate compliance risks, maintain compliance controls, and foster strong compliance programs within their firms.

Panelists at the broker-dealer seminar will include SEC and FINRA staff and CCOs from broker-dealer firms, and will feature relevant topics for broker-dealer CCOs (or senior compliance staff if CCOs can't attend). The SEC and FINRA staff seek input from CCOs on discussion topics.

The list of potential topics can be found at Selections must be made by November 10. The seminar is limited to 500 people, with priority given to broker-dealer CCOs on a first-come, first-serve basis. Additional details about the CCOutreach BD program and the National Seminar are available on the SEC and FINRA websites.