Compliance

FINRA and SEC Announce Compliance Forum for B/Ds

Cybersecurity, investing by seniors, and other regulatory topics of interest will be discussed. 

By John Manganaro editors@assetinternational.com | May 03, 2017

The Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) will hold their National Compliance Outreach Program for Broker/Dealers on July 27. 

Registration is open for the program, which is designed to provide an “open forum for regulators and industry professionals, including compliance, audit, and other senior personnel of broker/dealer firms and branch offices, to discuss current compliance practices and promote an effective compliance structure for the protection of investors.”

The SEC’s Office of Compliance Inspections and Examinations (OCIE) and FINRA sponsor the program in coordination with the SEC’s Division of Trading and Markets. It will be held at the SEC’s Washington D.C., headquarters from 10:30 a.m. to 4:45 p.m. 

There is no cost to attend the event, SEC and FINRA note, but in-person attendance is limited to 500 on a first-come, first-served basis. There will be a maximum of 10 attendees per firm. The event will be webcast live on the SEC’s website, but CPE credits will be available to in-person attendees only.

Visit the SEC's website or FINRA’s website for additional details about the 2017 National Compliance Outreach Program for Broker/Dealers, including the agenda and information about how to register for the event.