Washington, D.C., Jan. 15, 2008 – LAWFUEL – Legal Newswire – The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for the inaugural CCOutreach BD National Seminar for broker-dealer chief compliance officers.
The CCOutreach BD National Seminar, designed to further promote strong compliance practices for the protection of investors, will be held on March 7, 2008, from 8:45 a.m. to 4:30 p.m. at the SEC’s headquarters located at 100 F Street, N.E. in Washington, D.C. Attendance is limited to 500, with CCOs given priority on a first-come, first-served basis.
The seminar will include panel discussions with SEC and FINRA staff and CCO representatives from both large and small broker-dealers about the latest compliance developments relevant to CCOs. The national seminar will be followed by a series of regional seminars held by SEC and FINRA staff. Dates and locations for the regional seminars will be announced at future dates.
The agenda and registration information for the CCOutreach BD National Seminar is available at http://www.sec.gov/info/bdccoutreach.htm.