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FREE: Webcast: SEC Compliance Outreach Event
June 27 @ 9:00 am - 3:00 pm CDT
The 2019 National Compliance Outreach Program for Broker-Dealers is a one-day program intended for compliance, audit, and other senior personnel of broker-dealer firms and branch offices. The program provides an open forum for regulators and industry professionals to share strong compliance practices and promote the exchange of ideas to develop a more effective compliance structure. The program is sponsored by the SEC’s Office of Compliance Inspections and Examinations (OCIE), in coordination with the SEC’s Division of Trading and Markets and the Financial Industry Regulatory Authority (FINRA).
The program focuses on insights from leadership, protecting retail investors, and regulatory hot topics such as digital assets and cyber-security.
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