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).

Compliance Outreach Regional Seminars

In 2016, FINRA and the SEC staff hosted six Compliance Outreach Regional Seminars in New York, Atlanta, Dallas, Boston, Chicago and San Francisco addressing current issues in compliance and regulation.

There are currently no programs scheduled. Check this page frequently for program updates.

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