Agenda

CCOutreach BD Regional Seminar^*

1. Welcome
   1. Overview of CCOutreach BD Program
2. Regulatory Examination Programs
   1. SEC Examination Program
      1. How to prepare for an exam
      2. What to expect during an exam
      3. Examination priorities for SEC
   2. FINRA Examination Program
      1. How to prepare for an exam
      2. Exam program changes due to NASD/NYSE merger
      3. Examination priorities for FINRA
3. Compliance Program
   1. The Chief Compliance Officer's Role (SEC)
      1. Brief overview
      2. Common regional/district examination findings
      3. CCO practices/discussion
   2. Annual Report (FINRA)
      1. Brief overview
      2. Common regional/district examination findings
      3. CCO practices/discussion
4. Sales Practices / Conflicts
   1. Sales Practice Issues (SEC)
      1. Brief overview
      2. Common regional/district examination findings
      3. CCO practices/discussion
   2. Conflicts (FINRA)
      1. Brief overview
      2. Common regional/district examination findings
      3. CCO practices/discussion
5. Closing Remarks

^* Specific examination findings, examination focuses, and discussion are subject to change for each regional event.

http://www.sec.gov/info/cco/ccobdrsagenda.htm