National Compliance Outreach Program for Broker-Dealers
July 14, 2015
The 2015 National Compliance Outreach Program for Broker-Dealers is a one-day program intended for compliance, audit, and risk officers 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 National Regulatory Authority (FINRA).
The program will focus on 2015 program priorities as well as current topics of interest including cybersecurity, anti-money laundering, and firm approach to supervision and sales practices in branch offices. View the agenda.
- There is no cost to attend the event. In-person attendance is limited to 500 attendees on a first-come, first-served basis, with a maximum of ten attendees per firm.
- The event takes place at the SEC (100 F Street, NW, Washington, DC) and will be webcast live for those who cannot attend in person. CPE credits will be available to in-person attendees only.
- When registering, please specify whether you will attend in-person or via webcast.
- Both in-person and webcast viewers will be able to provide feedback after the event to help us plan future programs.
- For questions, please send an email to the SEC or FINRA.
Information is also available at the SEC website: http://www.sec.gov/info/complianceoutreach-bd.htm