United States

2016 Regional Compliance Outreach Program for Broker-Dealers


The SEC is partnering with the Financial Industry Regulatory Authority to sponsor the 2016 Regional Compliance Outreach Program for Broker-Dealers. Each regional program will provide a forum for regulators and industry professionals of broker-dealer firms to discuss current regulatory issues and exchange ideas for effective compliance practices. There is no cost to attend the regional programs, which will be held in:

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

Registration is open to risk, audit, legal and compliance professionals employed by broker-dealers, with limited seating available on a first-come, first-served basis.