The 2013 National Compliance Outreach Program for Broker-Dealers

The National Compliance Outreach Program for Broker-Dealers is designed for risk, audit and compliance officers 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 the Financial Industry National Regulatory Authority ("FINRA").

2013 Program

The 2013 National Compliance Outreach Program for Broker-Dealers will provide the opportunity for open discussions on effective compliance practices and timely compliance issues in ever-changing markets. The 2013 national program will focus on large firms and will feature topics of interest including enterprise risk management, net capital compliance as well as sales and trading practices.

National Compliance Outreach Program for Broker-Dealers
April 9, 2013
SEC Headquarters
100 F Street N.E.
Washington, DC 20549

View the agenda

• Registration for this event is now open. The 2013 National Compliance Outreach Program for Broker-Dealers will be webcast live on April 9, 2013 for those who cannot attend in person.
   
• There is no cost to attend the event but in-person attendance is limited to 500 attendees (maximum ten attendees per firm) on a first-come, first-serve basis.
   
• After viewing the webcast, please provide feedback to help us plan future programs.
   
For questions, please send an email to FINRA or the SEC.
 
• If you are an individual who will need disability accommodations or have other special needs so you can participate in this program, kindly let us know by submitting the form Reasonable Accommodation for Participation in SEC Public Programs. Submit requests for services, including Sign Language Interpreter services, by Tuesday April 2, 2013.