SEC to Hold National Compliance Event for Broker-Dealers

The SEC announced the opening of registration for its National Compliance Outreach Program for Broker-Dealers that will take place in Washington D.C. on April 9. The event is sponsored by the SEC's Office of Compliance Inspections and Examinations in coordination with the SEC's Division of Trading and Markets and FINRA. The goal of the program is to provide a forum for open discussions about effective compliance practices for broker-dealers, with a focus on compliance, risk, and audit officers of large broker-dealers with multiple and complex business lines.

Click here to view notice in full (links externally to SEC website).To register, go to www.sec.gov/news/press/2013/2013-9.htm.