The Regional Compliance Outreach Program for Broker-Dealers is designed for risk, audit, legal and compliance professionals employed by broker-dealers. Its focus is to promote strong compliance practices for the protection of investors. The SEC’s Office of Compliance Inspections and Examinations, in coordination with the SEC’s Division of Trading and Markets, will partner with FINRA to sponsor the programs.
In 2014, FINRA and SEC staff are hosting the Regional Compliance Outreach Program for Broker-Dealers in Denver, Los Angeles, Chicago, Miami, Philadelphia and New York. 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. Registration is limited and open to all risk, audit, legal and compliance professionals employed by broker-dealers on a first-come, first-served basis.
To register or to find out more information about this event please click here.