Compliance Outreach Program

2014 Regional Compliance Outreach Program for Broker-Dealers

 

The Regional Compliance Outreach Program for Broker-Dealers is designed for risk, audit, legal and compliance professionals employed by broker-dealers. Its focus is to promote strong compliance practices for the protection of investors. The SEC's Office of Compliance Inspections and Examinations, in coordination with the SEC's Division of Trading and Markets, will partner with FINRA to sponsor the programs.

 

In 2014, FINRA and SEC staff are hosting the Regional Compliance Outreach Program for Broker-Dealers in Denver, Los Angeles, Chicago, Miami, Philadelphia and New York. Each program addresses current issues in compliance and regulation and provides broker-dealer professionals the opportunity to ask questions and interact with staff from national and regional SEC and FINRA offices.

 

There is no cost to attend any program. Registration is limited and open to all risk, audit, legal and compliance professionals employed by broker-dealers on a first-come, first-served basis.

 

 

Registration Information

To register for a program, click the location below.

 

Location

Date

Venue

Agenda

Denver

April 30, 2014

9 a.m. – 1 p.m.

(Continental breakfast & registration starts at 8 a.m.)

Sheraton Denver Tech Center Hotel

7007 S Clinton Street

Greenwood Village, CO 80112

(303) 799-6200

Agenda

Los Angeles

April 30, 2014

1:30 p.m. – 5 p.m.

(Registration starts at 12:30 p.m.)

Omni Los Angeles Hotel at California Plaza

251 South Olive Street

Los Angeles, CA 90012

(213) 617-3300

Agenda

Chicago

 

The program has reached capacity. You may register for the waitlist.

June 4, 2014

9 a.m. – 3:30 p.m.

(Continental breakfast & registration starts at 8 a.m.)

Federal Reserve Bank of Chicago

230 South LaSalle Street

Chicago, IL 60604

(312) 322-5322

Available in May

Miami

June 4, 2014

10 a.m. – 1 p.m.

(Registration starts at 9 a.m.)

SEC Miami Regional Office

801 Brickell Avenue

17th Floor Conference Room

Miami, FL 33131

(305) 982-6300

Available in May

Philadelphia

June 16, 2014

9 a.m. – 12:30 p.m.

(Continental breakfast & registration starts at 8 a.m.)

Federal Reserve Bank of Philadelphia

10 Independence Mall

Philadelphia, PA 19106

(215) 574-6000

Available in May

New York

The program has reached capacity. You may register for the waitlist.

June 30, 2014

9 a.m. – 12 p.m.

(Continental breakfast & registration starts at 8 a.m.)

United Federation of Teachers

52 Broadway

New York, NY 10004

(212) 598-9267

Available in May

 

For questions, please send an email to the SEC or FINRA.

Last Updated: 3/24/2014