Monday, May 11, 2015

SEC and FINRA's Compliance Outreach Program for BDs

The SEC and FINRA announced the opening of registration for their 2015 National Compliance Outreach Program for Broker-Dealers.  The program is intended to provide an open forum for regulators and industry professionals to discuss compliance practices and exchange ideas on effective compliance structures.

The SEC’s Office of Compliance Inspections and Examinations (OCIE), in coordination with the SEC’s Division of Trading and Markets, is sponsoring the program with FINRA.  The program will be held on July 14 at the SEC’s Washington, D.C., headquarters and will focus on 2015 priorities for OCIE and FINRA as well as current topics of interest including cybersecurity, anti-money laundering, and firms’ approaches to supervision and sales practices.

There is no cost to attend the event, but in-person attendance is limited to 500 on a first-come, first-served basis.  The program is targeted to compliance, audit, and risk officers of broker-dealer firms and branch offices, with a maximum of ten attendees per firm. There will also be a webcast for those who cannot attend in person.

For more information visit | SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers


The attorneys at Sallah Astarita & Cox include veteran securities litigators and former SEC Enforcement Attorneys. We have decades of experience in securities litigation matters, including the defense of enforcement actions. We represent investors, financial professionals and investment firms, nationwide. For more information call 212-509-6544 or send an email.

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