SEC and FINRA announce National Compliance Outreach Program for Broker-Dealers


Cybersecurity, investing by seniors, and other regulatory topics of interest will be discussed when the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) hold their National Compliance Outreach Program for Broker-Dealers on July 27.

Registration opened today for the program, which is designed to provide an open forum for regulators and industry professionals, including compliance, audit, and other senior personnel of broker-dealer firms and branch offices, to discuss current compliance practices and promote an effective compliance structure for the protection of investors.

The SEC’s Office of Compliance Inspections and Examinations (OCIE) and FINRA sponsor the program in coordination with the SEC’s Division of Trading and Markets. It will be held at the SEC’s Washington D.C., headquarters from 10:30 a.m. to 4:45 p.m.

Peter Driscoll

Peter Driscoll, Acting Director of OCIE’s National Examination Program said:

The Compliance Outreach Program for Broker-Dealers helps to facilitate effective communication and transparency and furthers the mission to protect investors and maintain fair, orderly, and efficient markets.

Susan Axelrod, FINRA

Susan Axelrod, FINRA Executive Vice President of Regulatory Operations added:

FINRA is pleased to continue our successful partnership with the SEC to provide this opportunity for broker-dealer senior personnel, particularly compliance officers, and regulators to foster open lines of communication and work together.

There is no cost to attend the event, but in-person attendance is limited to 500 on a first-come, first-served basis. There will be a maximum of 10 attendees per firm. The event will be webcast live on the SEC’s website, but CPE credits will be available to in-person attendees only.

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SEC and FINRA announce National Compliance Outreach Program for Broker-Dealers

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