The Securities and Exchange Commission and the Financial Industry Regulatory Authority announced Tuesday the opening of registration for the regional compliance outreach programs for broker-dealers beginning in the spring that will take place in Denver, Los Angeles, Chicago, Miami, Philadelphia and New York.
The SEC’s Office of Compliance Inspections and Examinations, in coordination with the SEC’s Division of Trading and Markets, is partnering with FINRA to sponsor the programs, which will start in April in Denver and Los Angeles. The other outreach programs in Chicago, Philadelphia, Miami and New York will take place in June.
“These regional programs supplement our national compliance outreach program for broker-dealers by allowing critical regional interaction between staff from the SEC and FINRA and personnel from registered broker-dealer firms operating in the region,” said Kevin Goodman, national associate director of the SEC’s broker-dealer examination program, in a statement. “This local collaboration is an important aspect of our overall outreach efforts.”