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

Posted on April 17, 2019 by lawhukukinet

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…

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