SEC and FINRA Schedule National Compliance Outreach Program for Broker-Dealers
The Securities and Exchange Commission and the Financial Industry Regulatory Authority have opened registration for their 2019 National Compliance Outreach Program for broker-dealers.
The Securities and Exchange Commission and the Financial Industry Regulatory Authority have opened registration for their 2019 National Compliance Outreach Program for broker-dealers, which will be held on June 27, 2019 in Chicago.
The program is designed to provide an open forum for regulators and industry professionals including compliance, internal audit, and other senior personnel of broker-dealer firms and branch offices to discuss current compliance practices and promote a more effective compliance structure for the protection of investors.
The program will be held at the Federal Reserve Bank of Chicago from 9:00 a.m. to 3:00 p.m. CT and will focus on insights from leadership, protecting retail investors, and regulatory hot topics such as digital assets and cybersecurity.
“As our regulatory program evolves to meet the challenges of new markets, new products and new rules, FINRA engages with member firms, compliance leaders and other regulators in meaningful discussions that enrich our regulatory efforts and provide broker-dealers with the tools and information needed to better serve investors,” said Mike Rufino, executive vice president and head of FINRA member regulation – sales practice.
There is no cost to attend the event, but in-person attendance is limited to 250 on a first-come, first-served basis. There will be a maximum of four attendees per firm. For those that cannot attend, a live webcast will be available on the SEC’s website.
