Monday, April 20, 2009

SEC & FINRA Announce CCOutreach BD Regional Seminars

The SEC and FINRA have announced a series of regional CCOutreach seminars, offered through the spring and summer, designed for broker-dealer compliance personnel. These seminars "will include panel discussions on such topics as the current regulatory environment, enterprise-wide supervision, recordkeeping, and information protection." The panels will include local SEC and FINRA staff and CCOs from broker-dealer firms. And each regional seminar will provide CCOs and other attendees to participate in question and answer sessions with the panels.

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: