Compliance Outreach Program

The Compliance Outreach Program was formed to improve compliance by opening the lines of communications between SEC staff and the industry. It is designed to provide a forum to discuss compliance issues in a practical way, share experiences, and learn about effective compliance practices. Region-specific events are hosted at various locations across the country. National events are hosted in Washington, D.C. 

• Compliance Outreach Program initiatives for funds and advisers
• Compliance Outreach Program initiatives for broker-dealers
• Compliance Outreach Program initiatives for municipal advisors
• Compliance Outreach Program initiatives for SCI entities
• Compliance Outreach Netcast Archives