broker-dealers Archives - The Industry Spread

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

April 18, 2019

The Securities and Exchange Commission (SEC) and FINRA announced today the opening of registration for their 2019 National Compliance Outreach Program for Broker-Dealers, which will be held June 27, in Chicago, IL. The program is designed to provide an open forum for regulators and industry professionals including compliance, audit and other senior personnel of broker-dealer firms and branch offices to discuss current compliance practices and promote an effective compliance structure for the protection of investors.