Compliance Outreach Program

The Compliance Outreach Program for Broker-Dealers is designed for risk, audit and compliance officers 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.

 

2013 Program
The 2013 National Compliance Outreach Program for Broker-Dealers addressed effective compliance practices and timely regulatory issues. It focused on large firm issues and featured topics such as enterprise risk management, net capital compliance as well as sales and trading practices.

 

View the April 2013 agenda >

 

View webcast of the event >