|
The 2013 National Compliance Outreach Program for Broker-DealersThe 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 ProgramThe 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
http://www.sec.gov/info/complianceoutreach-bd.htm
|