SEC and FINRA Announce National Compliance Outreach Program for Broker-Dealers

The SEC and FINRA announced that registration is open for the 2015 National Compliance Outreach Program for Broker-Dealers.

The program is targeted to compliance, audit, and risk officers of broker-dealer firms and branch offices. It is intended to provide an open forum for regulators and industry professionals to discuss compliance practices and exchange ideas on effective compliance structures. The program is scheduled to be held on July 14, 2015 and will focus on 2015 priorities for SEC and FINRA as well as current topics of interest including cybersecurity, anti-money laundering, and firms' approaches to supervision and sales practices in branch offices.

While there is no cost to attend the event, in-person attendance is limited to 500 on a first-come, first-served basis, with a maximum of ten attendees per firm.

See: SEC Press Release; Click here to Register.