Washington, D.C., March 10, 2009 (LAWFUEL) – The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for five CCOutreach BD regional seminars in 2009.
These regional seminars are designed to help broker-dealer compliance officers perform their compliance responsibilities. They will be held in Los Angeles on May 13, in Atlanta on June 2, in Denver on June 4, in Chicago on June 8, and in New York on July 22.
Panelists at the CCOutreach BD regional seminars will include local SEC and FINRA staff and CCOs from broker-dealer firms. Each regional seminar will include panel discussions on such topics as the current regulatory environment, enterprise-wide supervision, recordkeeping, and information protection. The regional seminars also will include question-and-answer sessions for CCOs.
“This year’s regional seminars will help CCOs address compliance risks in today’s environment,” said Lori Richards, Director of the SEC’s Office of Compliance Inspections and Examinations. “The seminars are a great opportunity to stay up-to-date on current challenges and help CCOs and their firms make sure that compliance programs are robust.”
More information about the regional seminars is available on the SEC’s Web site at www.sec.gov/info/bdccoutreach.htm and on FINRA’s Web site at www.finra.org/bdccoutreach. These regional compliance seminars for broker-dealer compliance personnel are different 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, with priority given to broker-dealer CCOs on a first-come, first-registered basis.
