SEC to Hold National Seminar for Chief Compliance Officers

FOR IMMEDIATE RELEASE
2009-239

Washington, D.C., Nov. 9, 2009 — The Securities and Exchange Commission today announced the opening of registration for its CCOutreach National Seminar to help chief compliance officers (CCOs) at investment advisers, investment companies, and broker-dealers enhance their compliance programs for the protection of investors.

The event will be held on Jan. 26, 2010, at the SEC's Washington D.C. headquarters, and will include panel discussions to analyze compliance issues being faced by investment advisers, mutual funds, and broker-dealers. This will mark the first time that the CCOutreach programs for investment advisers and for broker-dealers will be combined into one National Seminar, as the events were held separately in past years.

"We look forward to a constructive dialogue with CCOs of broker-dealer, mutual fund and investment advisory firms as we seek to achieve our common goal of investor-oriented compliance and oversight," said SEC Chairman Mary Schapiro.

Panel discussion topics at this year's National Seminar for CCOs include the challenges faced in turbulent markets, administering compliance and annual reviews, and oversight of the trading process. Panelists will include representatives from the SEC's Division of Trading and Markets, Division of Investment Management, and Office of Compliance Inspections and Examinations as well as CCOs and representatives from the Financial Industry Regulatory Authority (FINRA).

The National Seminar agenda and registration information is available at: http://www.sec.gov/info/cco/ccons2010.htm.

This CCOutreach event is sponsored jointly by the agency's Division of Investment Management, Division of Trading and Markets, and the Office of Compliance Inspections and Examinations. The Seminar will take place from 8:30 a.m. to 5:30 p.m. ET, and attendance is limited to 500 people. Adviser, mutual fund, and broker-dealer CCOs will be given priority on a first-come, first-served basis. The seminar also will be webcast at www.sec.gov.

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