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.

 

2011 Program
On February 8, 2011, the SEC and FINRA hosted a national seminar at SEC headquarters in Washington, DC. During the event, SEC and FINRA staff, along with CCOs from securities firms, discussed a range of topics including the impact of Dodd-Frank legislation, AML compliance, examination priorities and common findings, and electronic communications.

View the Agenda | View an Archived Video Broadcast of the Event

 

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