2019 National Compliance Outreach Program for Broker-Dealers

2019 National Compliance Outreach Program for Broker-Dealers

The 2019 National Compliance Outreach Program for Broker-Dealers is a one-day program intended for compliance, audit, and other senior personnel of broker-dealer firms and branch offices. The program provides an open forum for regulators and industry professionals to share strong compliance practices and promote the exchange of ideas to develop an effective compliance structure. The program is sponsored by the SEC's Office of Compliance Inspections and Examinations (OCIE), in coordination with the SEC's Division of Trading and Markets and the Financial Industry Regulatory Authority (FINRA).

The program focuses on insights from leadership, protecting retail investors, and regulatory hot topics such as digital assets, cybersecurity, and anti-money laundering.

Location

Federal Reserve Bank of Chicago
230 S LaSalle St.
Chicago, IL 60604

FINRA Member Firm
Non-Member
Live Broadcast

There is no cost to attend this event. In-person attendance is limited to 250 attendees on a first-come, first-served basis, with a maximum of four attendees per firm. When registering, please specify whether you will attend in-person or via webcast.

Continuing Education (CE) Credits

In-person attendees may receive CFP, CPE, CRCP® continuing education (CE) credits and a CLE voucher.

Agenda

The agenda will be posted at a later date. Please check this page frequently for updates.

Additional Information

Please direct questions about registration to (202) 728-6980 or via email to the SEC or FINRA. Information about the program is also available on the SEC website.

Press

This event is not open to the media. Please contact us with any media inquiries.