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April 01, 2009 at 04:00 AM
? The SEC and FINRA are hosting five regional CCOutreach BD regional seminars beginning May 13 for broker/dealer firms. The seminars will feature panelists from local SEC and FINRA staff and CCOs from broker/dealer firms, and will address such topics as the current regulatory environment, enterprise-wide supervision, recordkeeping, and information protection. Further information is available at www.sec.gov/info/bdccoutreach.htm.
? Speaking at the Investment Advisers Association conference on March 10, Andrew “Buddy” Donohue of the SEC pledged to have Form ADV Part II out by the end of this year, as well as the books and records rule.
? NAVA, the Association for Insured Retirement Solutions, has named Rick Heil as its director of standards, responsible for shephering NAVA’s Straight-through Processing Standards Initiative (NAVA STP), a standards-based process which is designed to streamline the sale of annuities.
