Broker-Dealer CCOutreach Program

The CCOutreach program for broker-dealer Chief Compliance Officers ("CCOs") is designed to further promote strong compliance practices for the protection of investors. The program is intended to foster communication about compliance risks and effective compliance controls, with the goal of helping CCOs foster stronger compliance programs within their firms. The CCOutreach BD Program is sponsored jointly by the SEC's Office of Compliance Inspections and Examinations, in coordination with the Division of Trading and Markets, and the Financial Industry Regulatory Authority ("FINRA").

Seminars

National Seminar

The National CCOutreach BD Seminar is held annually at SEC Headquarters, located at 100 F Street, NE, Washington, DC. The Seminar covers broad topics applicable to many broker-dealers and consists of panel discussions among SEC and FINRA staff and CCO representatives from both large and small broker-dealers. The National Seminar is open to approximately 500 in-person attendees, with first priority given to CCOs of broker-dealer firms. The seminar is also available via live and archived webcast. In-person attendees can submit question cards, which the various panels will attempt to address, time permitting. Questions can also be submitted in advance by email to BDCCOutreach@sec.gov or BDCCOutreach@finra.org.

If you are a CCO interested in speaking at future National Seminars or have suggestions for future panel discussions, please send an email to BDCCOutreach@sec.gov or BDCCOutreach@finra.org.

March 7, 2008 National Seminar

• Press Release
• Agenda
• Webcast information

Regional Seminars

Regional seminars will be hosted by SEC and FINRA staff in various cities throughout the country in 2008. These seminars are currently in the planning stages. The seminars will be designed to address more of the "nuts and bolts" of compliance processes and will be limited to 50 to 100 attendees. The regional seminars will include question and answer sessions and will enable CCOs to interact with staff from their local SEC and FINRA offices.

Information regarding Regional Seminars will be posted to this site in the coming weeks.

2008 Seminar Information

• General Information
• Registration
• Agenda

Availability of Continuing Education Credits for CPAs and Attorneys Attending the National and Regional CCOutreach BD Seminars

News & Public Statements

• Registration Opens for CCOutreach BD National Seminar 2008 (Press Release No. 2008-5, January 15, 2008).
   
• CCOutreach BD National Seminar to Be Held March 7 (Press Release No. 2007-244, November 27, 2007).
   
• SEC, FINRA Launch New Initiative to Assist Chief Compliance Officers at Broker-Dealer Firms (Press Release No. 2007-223, October 30, 2007.

ComplianceAlerts

• July 2008
   
• June 2007

http://www.sec.gov/info/bdccoutreach.htm