SEC News

SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers on June 27, 2019

The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their 2019 National Compliance Outreach Program for Broker-Dealers, which will be held June 27, 2019, in Chicago.

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

The SEC’s Office of Compliance Inspections and Examinations (OCIE), in coordination with the SEC’s Division of Trading and Markets, is sponsoring the program with FINRA. The program will be held at the Federal Reserve Bank of Chicago from 9 a.m. to 3 p.m. CT. The program will focus on insights from leadership, protecting retail investors, and regulatory hot topics such as digital assets and cybersecurity.

“We look forward to our continued engagement with industry professionals at this year’s National Compliance Outreach Program for Broker-Dealers,” said Peter Driscoll, Director of OCIE. “This event is a valuable opportunity for us to share our thoughts and observations from recent examinations and to listen to the insights provided by experienced industry professionals about current market and regulatory risks.”

“As our regulatory program evolves to meet the challenges of new markets, new products and new rules, FINRA engages with member firms, compliance leaders and other regulators in meaningful discussions that enrich our regulatory efforts and provide broker-dealers with the tools and information needed to better serve investors,” said Mike Rufino, Executive Vice President and Head of FINRA Member Regulation—Sales Practice.

There is no cost to attend the event, but in-person attendance is limited to 250 on a first-come, first-served basis.  There will be a maximum of four attendees per firm. For those that cannot attend, a live webcast will be available at http://www.sec.gov/news/otherwebcasts.shtml.

CPE, CRCP and CFP continuing education (CE) credits and a CLE voucher will be available to in-person attendees only.

For additional details on the 2019 National Compliance Outreach Program for Broker-Dealers, including the agenda and information on how to register for the event, visit the SEC’s website at http://www.sec.gov/info/complianceoutreach-bd.htm or FINRA’s website at http://www.finra.org/industry/2019-national-compliance-outreach-program-broker-dealers.

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