2019 National Compliance Outreach Program for Broker-Dealers
The National Compliance Outreach Program for Broker-Dealers took place on June 27, 2019 in Chicago, IL. The one-day program, intended for compliance, audit, and other senior personnel of broker-dealer firms and branch offices, 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 insights from leadership, protecting retail investors, and regulatory hot topics such as digital assets, cybersecurity, and anti-money laundering.