The CCOutreach Broker-Dealer Program

The CCOutreach BD program for chief compliance officers (CCOs) is designed to promote strong compliance practices for the protection of investors. 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.

2011 Program

The 2011 CCOutreach BD program will feature a national seminar covering topics based on feedback from CCOs. Regional seminars will take place in 2012.

National Seminar
February 8, 2011
SEC Headquarters
100 F Street N.E.
Washington, DC 20549

View the agenda

Registration for this event is now closed. The National Seminar will be webcast live on February 8th for CCOs who cannot attend in person.

After viewing the webcast, please provide feedback to help us plan future programs.

For questions, please send an email to FINRA or the SEC.