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 with priority given to CCOs on a first come, first served basis.

 

Registration for these events will open in early 2010.

 

Date	Location
February 11	San Francisco, CA
March 18	Miami, FL
April 20	New Orleans, LA
June 3	Boston, MA
July 27	Philadelphia, PA

 

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