Broker-Dealer CCOutreach Program

The CCOutreach BD program for broker-dealer chief compliance officers (CCOs) (or their senior compliance staff, where CCOs cannot attend) endeavors to foster robust compliance programs. 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.

Seminars

2010 Regional Seminars

In 2010, FINRA and SEC staff are hosting five CCOutreach BD Regional Seminars. Each program addresses current issues in compliance and regulation and provides CCOs the opportunity to ask questions and interact with presenters and staff from their local SEC and FINRA offices.

There is no cost to attend a Regional Seminar, but space is limited with priority given to CCOs on a first come, first served basis.

To register for a regional seminar, click the location below.

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

National Seminar — held on January 26, 2010

CCOutreach National Seminar for Broker Dealer, Investment Adviser, and Investment Company Chief Compliance Officers
SEC Headquarters
Washington, D.C.

The 2010 CCOutreach National Seminar addressed compliance risks and effective compliance controls. Panelists included: Staff from the SEC's Office of Compliance Inspections and Examinations, Division of Trading and Markets, Division of Investment Management and various regional offices; compliance professionals from medium/large and institutional broker-dealers, investment advisers and investment companies; and Staff from FINRA's Member Regulation and District Offices.

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