SEC, FINRA Announce Schedule For Regional CCOutreach BD Seminars

Washington, D.C., March 7, 2008 – The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today announced the schedule and beginning of registration for 14 regional CCOutreach BD seminars. These regional seminars are designed to help broker-dealer compliance officers perform their compliance responsibilities, and will be held in April, May, June and July at locations across the country.

Each regional seminar will include panel discussions on such topics as the SEC examination process and priorities and FINRA’s examination program and findings. The regional seminars also will include highlights from topics covered at the National CCOutreach BD Seminar, and will include question-and-answer sessions to provide an opportunity for CCOs to ask questions of local SEC and FINRA staff.

“We are focusing our CCOutreach BD regional programs on the compliance issues that are of most interest to CCOs to assist them in developing and enhancing effective compliance programs for the benefit of investors,” said Lori Richards, Director of the SEC’s Office of Compliance Inspections and Examinations. “We created the regional seminars with the hope that the smaller, more personal atmosphere will encourage the CCOs who take part to meet and discuss important compliance issues with their local regulators.”

FINRA CEO Mary Schapiro said, “By reaching out through these seminars, we are providing a unique opportunity for CCOs across the country to discuss priority topics and issues of concern directly with regulators. That personal interaction can be invaluable in developing robust compliance programs.”

Information regarding the regional seminars, including the dates, locations, and registration information, is available on the SEC’s Web site at and FINRA’s Web site at These regional compliance seminars for broker-dealer compliance personnel are different from the regional seminars provided for investment adviser and investment company compliance personnel. Seating is limited, with priority given to broker-dealer chief compliance officers on a first-come, first-registered basis.

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