The CCOutreach Broker-Dealer Program
The CCOutreach BD program for broker-dealer chief compliance officers (CCOs) (or their senior compliance staff, where CCOs cannot attend) is designed to promote strong compliance practices for the protection of investors. The program is sponsored jointly by the SEC's Office of Compliance Inspections and Examinations, in coordination with the Division of Trading and Markets, and FINRA.
The 2009 CCOutreach BD program features a National Seminar in Washington, DC on March 10, 2009 and five Regional Seminars throughout the country from April through June. The SEC and FINRA will announce dates and locations for the Regional Seminars at the National Seminar in March.
National Seminar
March 10, 2009
SEC Headquarters • Washington, DC
View the agenda for this event.
The CCOutreach BD National Seminar addresses compliance risks and effective compliance controls. Topics are selected based on feedback from CCOs and will be announced in coming months. Panelists include:
There is no cost to attend this event, but space is limited to 500 with priority given to CCOs (or their senior compliance staff, where CCOs cannot attend) on a first come, first served basis. Please register early to reserve your space.
Register for the 2009 CCOutreach BD National Seminar
For registration-related questions, please email us.
Regional Seminars
The SEC and FINRA will also host five CCOutreach BD Regional Seminars throughout the country in 2009. The seminars address more of the "nuts and bolts" of compliance processes and include question and answer sessions so that CCOs or their senior compliance staff can interact with staff from their local SEC and FINRA offices.
Registration for the 2009 CCOutreach BD Regional Seminars will open on March 10, 2009.
