These CCOutreach seminars differ from the regional seminars provided for investment adviser and investment company compliance personnel. There is no cost to attend the seminars but seating is limited, and priority will be given to broker-dealer CCOs on a first-come, first-registered basis.
The dates an locations of these CCOutreach BD seminars are:
- Los Angeles on May 13,
- Atlanta on June 2,
- Denver on June 4,
- Chicago on June 8, and
- New York on July 22.
More information and registration links are available on both the SEC and FINRA websites at: