Compliance Outreach Program for Broker-Dealers
The 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).
View the 2015 national program agenda, speaker biographies and resource list. Additional information is also available at the SEC website, including the on-demand webcast: http://www.sec.gov/info/complianceoutreach-bd.htm.