Washington, D.C., Nov. 27, 2007 – LAWFUEL – The Legal Newswire – The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) announced today that the inaugural event of the CCOutreach BD program will be a National Seminar at SEC headquarters in Washington, D.C. on March 7, 2008.
Registration for the National Seminar will begin in early January 2008. Detailed information about the National Seminar, including information regarding registration, will be posted on the SEC Web site at http://www.sec.gov/info/bdccoutreach.htm and on the FINRA Web site at http://www.finra.org/bdccoutreach as it becomes available.
The SEC and FINRA announced the establishment of the CCOutreach program for broker-dealers on October 30. The program is intended to further promote strong compliance practices at broker-dealer firms for the protection of investors, and it will feature the National Seminar as well as regional compliance seminars across the country. The National Seminar will include panel discussions with SEC and FINRA staff and broker-dealer CCO representatives on the latest compliance developments and significant compliance issues relevant to the broker-dealer community.
The SEC and FINRA are soliciting input from CCOs of broker-dealer firms to ensure that the National Seminar includes the compliance topics of most interest to broker-dealer CCOs and otherwise meets their needs. SEC staff is sending an e-mail reminder to CCOs of broker-dealer firms encouraging CCOs to provide suggestions by Nov. 30, 2007, regarding the National Seminar generally and about topics to be included at the 2008 National Seminar and future regional seminars. CCO input may be provided by e-mail to [email protected] or [email protected] A list of potential agenda items is posted on the SEC and FINRA Web sites.