SEC/FINRA Regional Compliance Outreach Programs


Today the Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”) announced their 2016 Regional Compliance Outreach Program for Broker-Dealers. The program will be co-sponsored by the SEC and FINRA and is geared to give regulators and industry professionals of broker-dealer firms a forum to “discuss current regulatory issues and exchange ideas for effective compliance practices.”

The cities and dates of the program are as follows:

  • April 7: New York
  • April 20: Atlanta
  • June 7: Dallas
  • June 14: Boston
  • July 25: Chicago
  • August 18: San Francisco

You can register and find more information on the program on the SEC website or the FINRA website.

These open dialogue meetings are a great source of information and a way to keep up with the concerns of your peers and the regulators. Core Compliance and Legal Services, Inc.’s consultants are up to date with the latest compliance industry news, so if you are unable to attend and have specific questions or concerns you would like to discuss please contact us at 619.278.0020.

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