SEC, FINRA Announce National Compliance Outreach Program for Broker-Dealers
The Securities and Exchange Commission and the Financial Industry Regulatory Authority are holding their National Compliance Outreach Program for Broker-Dealers on July 27 and will discuss cybersecurity, investing by seniors, and other regulatory topics of interest.
Registration opened on Wednesday for the program, which is designed to provide a forum for regulators and industry professionals, including compliance, audit, and other senior personnel of broker-dealer firms and branch offices, to discuss current compliance practices and promote a compliance structure for the protection of investors.
The SEC’s Office of Compliance Inspections and Examinations and FINRA sponsor the program in coordination with the SEC’s Division of Trading and Markets. It will be held at the SEC’s Washington D.C., headquarters from 10:30 a.m. to 4:45 p.m.
There is no cost to attend the event, but in-person attendance is limited to 500 on a first-come, first-serve basis. There will be a maximum of 10 attendees per firm. The event will be webcast live on the SEC’s website, but CPE credits will be available to in-person attendees only.
Additional details, including the agenda and information on how to register for the event can be found on SEC’s or FINRA’s website.
