Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

Tuesday, November 27, 2007

SEC and FINRA Announce National CCOutreach Seminar

The SEC and FINRA announced the establishment of the CCOutreach program for broker-dealers on October 30. The program is intended to further promote strong compliance practices at broker-dealer firms for the protection of investors.  The organizations announced today that the inaugural event of the CCOutreach BD program will be a National Seminar at SEC headquarters in Washington, D.C. on March 7, 2008.  It will include panel discussions with SEC and FINRA staff and broker-dealer CCO representatives on the latest compliance developments and significant compliance issues relevant to the broker-dealer community.  The SEC website has posted a list of potential agenda items.

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