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.

 

Regional Seminars

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.

 

Registration Information

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.