Compliance Outreach Program

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 hosted the Regional Compliance Outreach Program for Broker-Dealers in Denver, Los Angeles, Chicago, Miami, Philadelphia and New York.

 

There are currently no programs scheduled.

Last Updated: 7/1/2014