Broker-Dealer CCOutreach Program

The CCOutreach BD program for broker-dealer chief compliance officers (CCOs) (or their senior compliance staff, where CCOs cannot attend) endeavors to foster robust compliance programs. The program is sponsored jointly by the SEC's Office of Compliance Inspections and Examinations, in coordination with the Division of Trading and Markets, and FINRA.

The 2009 CCOutreach BD program features a National Seminar in Washington, DC on March 10, 2009 and five Regional Seminars throughout the country from April through June. The SEC and FINRA will announce dates and locations for the Regional Seminars at the National Seminar in March.

Seminars

National Seminar

March 10, 2009
SEC Headquarters
Washington, DC

The CCOutreach BD National Seminar addresses compliance risks and effective compliance controls. Topics are selected based on feedback from CCOs and will be announced in coming months. Panelists may include:

• Staff from the SEC's Office of Compliance Inspections and Examinations, Division of Trading and Markets, Division of Enforcement and various regional offices
• Staff from FINRA's Member Regulation Department, Enforcement and District Offices
• Compliance professionals from small, medium, large and institutional broker-dealers

There is no cost to attend this event; however, attendance is limited to 500, with priority given to CCOs on a first-come, first-serve basis. Please register early to reserve your space.

Registration for the 2009 CCOutreach BD National Seminar will open in November.

For registration-related questions, please email us at BDCCOutreach@sec.gov or BDCCOutreach@finra.org.

Regional Seminars

The SEC and FINRA will host five CCOutreach BD Regional Seminars throughout the country in 2009. The seminars address more of the "nuts and bolts" of compliance processes and include question and answer sessions so that CCOs (or their senior compliance staff, where CCOs cannot attend) can interact with staff from their local SEC and FINRA offices.

Registration for the 2009 CCOutreach BD Regional Seminars will open on March 10, 2009.

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

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

News and Public Statements

ComplianceAlerts

• July 2008
   
• June 2007

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