SEC and FINRA Announce Regional Compliance Outreach Programs for Broker-Dealers

The SEC and FINRA announced that registration is open for regional compliance outreach programs for broker-dealers which will take place in Denver, Los Angeles, Chicago, Miami, Philadelphia and New York beginning in the spring.

The regional programs will provide professionals employed by broker-dealers and regulators with a forum to discuss risk management, regulatory issues and compliance practices.

See: Registration via SEC; Registration via FINRA; Press Release.