National Compliance Outreach Program for Broker-Dealers

The 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 issues related to cybersecurity, senior investors, and regulatory hot topics such as anti-money laundering and recidivist brokers. Also, senior leaders from the SEC and FINRA discuss the regulatory environment. 

The 2017 FINRA/SEC National Compliance Outreach Program for Broker-Dealers took place in Washington, DC on July 27. If you were unable to participate, please check the SEC’s website later this summer for an archived webcast of this event. Check this page frequently for program updates.

View the 2017 agenda and resource list for the National Compliance Outreach Program for Broker Dealers.

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

Information is also available on the SEC website.