Tuesday, November 27, 2007
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.