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SEC, FINRA to Host BD Compliance Outreach Symposium

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The Securities and Exchange Commission and the Financial Industry Regulatory Authority plan to hold a joint National Compliance Outreach Program for broker-dealers on July 27, with topics ranging from cybersecurity to investing by seniors.

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.

The SEC’s Office of Compliance Inspections and Examinations and FINRA sponsor the program in coordination with the SEC’s Division of Trading and Markets.

Peter Driscoll, acting director of OCIE’s National Examination Program, said that the program “helps to facilitate effective communication and transparency and furthers the mission to protect investors and maintain fair, orderly and efficient markets.”

Susan Axelrod, FINRA executive vice president of regulatory operations, added that FINRA “is pleased to continue our successful partnership with the SEC to provide this opportunity for broker-dealer senior personnel, particularly compliance officers, and regulators to foster open lines of communication and work together.”

Registration is open for the one-day program to be held at SEC headquarters in Washington. There is no cost to attend the event but a maximum of 10 attendees are allowed per firm.

— Check out FINRA Issues Social Media Q&A on ThinkAdvisor.


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