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SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers

July 14, 2015

WASHINGTON — The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their 2015 National Compliance Outreach Program for Broker-Dealers. The program is intended to provide an open forum for regulators and industry professionals to discuss compliance practices and exchange ideas on effective compliance structures.

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 on July 14 at the SEC’s Washington D.C. headquarters and will focus on 2015 priorities for OCIE and FINRA as well as current topics of interest including cybersecurity, anti-money laundering, and firms’ approaches to supervision and sales practices.

“This program provides an invaluable opportunity to facilitate discussions between regulators and industry participants on important issues affecting the brokerage industry, to promote compliance with federal securities laws, and to enhance investor protection,” said Kevin Goodman, National Associate Director of OCIE’s broker-dealer examination program. “Past programs have been well attended and well received, and we look forward to a candid exchange of ideas with participants at our upcoming event.”

FINRA Executive Vice President of Regulatory Operations Susan Axelrod said, “FINRA is pleased to continue our successful partnership with the SEC to provide this opportunity for broker-dealer compliance officers and regulators to maintain and develop open lines of communication. Face-to-face meetings of this kind, which allow for a meaningful dialogue regarding significant and timely compliance issues, are more valuable than ever.”

There is no cost to attend the event, but in-person attendance is limited to 500 on a first-come, first-served basis. The program is targeted to compliance, audit, and risk officers of broker-dealer firms and branch offices, with a maximum of ten attendees per firm. For those that cannot attend, the event will be webcast live on the SEC’s website. CPE credits will be available to in-person attendees only.

For additional details on the 2015 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/compliance-outreach-program.

Click here to View the Agenda.


July 14, 2015
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