Compliance March 19, 2014

SEC Sets 2014 Broker/Dealer Outreach Schedule

The Securities and Exchange Commission (SEC) released the schedule for this year’s Regional Compliance Outreach Program for financial and compliance professionals working with broker/dealer firms.
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The outreach program is designed for risk, audit, legal and compliance professionals employed by broker/dealers, the SEC says. Its focus is to promote strong compliance practices for the protection of investors. The SEC’s Office of Compliance Inspections and Examinations, in coordination with the SEC’s Division of Trading and Markets, will partner with the Financial Industry Regulatory Authority (FINRA) to sponsor the program.

In 2014, the groups are bringing the compliance program to Denver, Los Angeles, Chicago, Miami, Philadelphia and New York. Each event addresses current issues in compliance and regulation and provides broker/dealer professionals the opportunity to ask questions and interact with staff from national and regional SEC and FINRA offices.

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There is no cost to attend any program. Registration is limited and open to all risk, audit, legal and compliance professionals employed by broker-dealers on a first-come, first-served basis.

Here’s a rundown of the schedule provided by the SEC:

  • The Denver event is set for April 30. Registration is here.
  • The Los Angeles event is also set for April 30. Registration is here.
  • The Chicago event takes place June 4. Registration is here.
  • The Miami event also takes place June 4. Registration is here.
  • The Philadelphia is set for June 16. Registration is here.
  • The New York event falls on June 30. Registration is full, but those interested can visit the FINRA website to sign onto the waiting list.

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