The CCOutreach Broker-Dealer Program
The CCOutreach BD program for broker-dealer chief compliance officers (CCOs) is designed to promote strong compliance practices for the protection of investors. The program is sponsored jointly by FINRA and the SEC's Office of Compliance Inspections and Examinations, in coordination with the Division of Trading and Markets.
In 2010, FINRA and SEC staff are hosting five CCOutreach BD Regional Seminars. Each program addresses current issues in compliance and regulation and provides CCOs the opportunity to ask questions and interact with presenters and staff from their local SEC and FINRA offices.
There is no cost to attend a regional seminar, but space is limited and available on a first-come, first-served bases. First priority is given to CCOs of FINRA-registered broker-dealer firms.
To register for a regional seminar, click the location below.
| Date | Location | Venue | Agenda |
| February 11 | San Francisco, CA | Wharton School of Business Folger Building, Room 450 101 Howard Street San Francisco, CA 94105 |
View Agenda |
| March 18 | Miami, FL | Securities and Exchange Commission Miami Regional Office 801 Brickell Avenue, Suite 1800 Miami, FL 33131 |
View Agenda |
| April 20 | New Orleans, LA | Pan American Life Conference Center 11th Floor Auditorium 601 Poydras Street New Orleans, LA 70130 |
View Agenda |
| June 3 | Boston, MA | Federal Reserve Bank of Boston Audiovisual Room #1 H-3 Third Floor 600 Atlantic Avenue Boston, MA 02205 |
Available in April |
| July 27 | Philadelphia, PA | Federal Reserve Bank of Philadelphia Edward Boehne Auditorium Ten Independence Mall Philadelphia, PA 19106 |
Available in May |
For questions, please send an email to FINRA or the SEC.