- This event has passed.
2017 National Compliance Outreach Program for Broker-Dealers
July 27, 2017
Registration for the 2017 National Compliance Outreach Programs for Broker-Dealers, which is hosted by FINRA and the SEC, is now open. This program provides a forum for regulators and industry professionals to share strong compliance practices and promote the exchange of ideas to develop an effective compliance structure.
- Insights from SEC and FINRA Leadership
- Regulatory Hot Topics
- Senior Investors
There is no cost to attend this event, but in-person attendance is limited to 500 on a first-come, first-served basis, with a maximum of ten attendees per firm. The event will be webcast live on the SEC’s website, for those who cannot attend in person. Visit FINRA’s website to view the agenda and registration information.