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 May through July. 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 to be covered at the event include: Current Regulatory Environment, Information Protection and Privacy, Product-Specific Supervision-Ask the CCO and Enterprise-Wide Supervision. For more information on each topic, refer to the agenda.

Panelists for each topic 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

Registration for this event is now closed. The National Seminar will be webcast live, with a limited number of ports, on March 10 beginning at 9:00 am (ET). Webcast details are available at www.sec.gov/info/bdccoutreach.htm

Regional Seminars

The SEC and FINRA are hosting five CCOutreach BD Regional Seminars throughout the country in 2009. Each program will address current issues in compliance and regulation and provide CCOs the opportunity to ask questions and interact with presenters and staff from their local SEC and FINRA offices.

There is no cost to attend a Regional Seminar, but space is limited with priority given to CCOs (or their senior compliance staff, where CCOs cannot attend) on a first come, first served basis. Please register early to reserve your space.

Following are dates, locations and agendas for each of the events:

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

News and Public Statements

• SEC, FINRA Announce Second Annual CCOutreach BD National Seminar

ComplianceAlerts

• July 2008
• June 2007

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