SEC, FINRA Announce National Compliance Outreach Program for Broker-Dealers
The SEC and FINRA will hold a National Compliance Outreach Program for Broker-Dealers with the following key topics: cybersecurity, investing by seniors, anti-money laundering and recidivist brokers. The event, which will take place on July 27, 2017, will give regulators and industry professionals a forum for discussing compliance practices and structures intended to promote the protection of investors. Additional information on the program can be found on the SEC and FINRA websites.