Compliance Outreach Program for Broker-Dealers

The Compliance Outreach Program for Broker-Dealers is a half-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).

2016 Compliance Outreach Regional Seminars

In 2016, FINRA and the SEC staff will host six Compliance Outreach Regional Seminars addressing current issues in compliance and regulation. Each program addresses current issues in compliance and regulation and provides broker-dealer professionals the opportunity to ask questions and interact with staff from national and regional SEC and FINRA offices.

There is no cost to attend any program. Space is limited and available on a first-come, first-served basis, with preference given to all risk, audit, legal, and compliance professionals employed by broker-dealers.

Registration Information

Register below to attend a program in your region.

Location Date Venue Registration Agenda
New York Thursday, April 7
8:30 a.m. – 12:45 p.m.
United Federation of Teachers
52 Broadway
New York, NY
This event has concluded. View Agenda
Atlanta Wednesday, April 20
8:00 a.m. – 12:30 p.m.
Federal Reserve Bank of Atlanta
1000 Peachtree St, NE
Atlanta, GA
This event has concluded. View Agenda
Dallas/Fort Worth Tuesday, June 7
1:30 p.m. – 5:00 p.m.
Federal Reserve Bank of Dallas
2200 N. Pearl Street
Dallas, TX
This event has concluded. View Agenda
Boston Tuesday, June 14
9:00 a.m. – 1:00 p.m.
Federal Reserve Bank of Boston
600 Atlantic Avenue
Boston, MA
This event has concluded. View Agenda
Chicago Monday, July 25
1:00 p.m. – 5:00 p.m.
Federal Reserve Bank of Chicago
230 South LaSalle Street
Chicago, IL
This event has concluded. View Agenda
San Francisco Thursday, August 18
1:00 p.m. – 4:15 p.m.
Federal Reserve Bank of San Francisco
101 Market Street
San Francisco, CA
Registration is closed. View Agenda

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