CCOutreach Program
The CCOutreach program was formed to promote open communications and coordination among securities regulators and the industry on mutual fund, investment adviser, and broker-dealer compliance issues. It is designed to provide a forum to discuss compliance issues in a practical way, to share experiences, and to learn about effective compliance practices. The program features a number of elements, including regional events at various locations across the country and national events sponsored annually in Washington, DC.
The CCOutreach program for investment companies and investment advisers is sponsored by the SEC’s Office of Compliance Inspections and Examinations and Division of Investment Management. The CCOutreach program for broker-dealers is sponsored by the SEC’s Office of Compliance Inspections and Examinations, in coordination with the Division of Market Regulation, and by the Financial Industry Regulatory Authority (“FINRA”).
http://www.sec.gov/info/ccoutreach.htm
