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Regulation and Compliance > Federal Regulation > FINRA

SEC, FINRA Plan Compliance Outreach Seminar for BDs

By Melanie Waddell

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The Securities and Exchange Commission and Financial Industry Regulatory Authority plan to hold their 2019 National Compliance Outreach Program for Broker-Dealers on June 27 in Chicago.

The program, which will also be webcast, is to be held at the Federal Reserve Bank of Chicago and will focus on insights from SEC and FINRA leadership, protecting retail investors and regulatory hot topics such as digital assets, cybersecurity and anti-money laundering.

The SEC’s Office of Compliance Inspections and Examinations and the Division of Trading and Markets are sponsoring the program along with FINRA.

“The Compliance Outreach Program for Broker-Dealers helps to facilitate effective communication and transparency and furthers the mission to protect investors and maintain fair, orderly and efficient markets,” said OCIE acting director Pete Driscoll, in a statement.

“As our regulatory program evolves to meet the challenges of new markets, new products and new rules, FINRA engages with member firms, compliance leaders and other regulators in meaningful discussions that enrich our regulatory efforts and provide broker-dealers with the tools and information needed to better serve investors,” added Mike Rufino, executive vice president and head of FINRA Member Supervision/Sales Practice.

— Check out FINRA E-Signatures Rule Gets SEC Nod on ThinkAdvisor.

Melanie Waddell

@Think_MelanieW

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