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May 05, 2017 at 04:07 AM
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.”
