The Compliance Outreach 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 featured 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

• Webcast archive
   
• View the agenda

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