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National compliance outreach program for broker-dealers

When Jun 27, 2019
from to
Timezone UTC - 5
Where Chicago, IL
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The SEC's Office of Compliance Inspections and Examinations (OCIE) — in coordination with the SEC's Division of Trading and Markets — and the Financial Industry Regulatory Authority (FINRA) will host a national compliance outreach program for broker-dealers. The program will provide an open forum for regulators and industry professionals including compliance, internal audit, and other senior personnel of broker-dealer firms and branch offices, to discuss current compliance practices and promote a more effective compliance structure for the protection of investors. 

The program will focus on insights from leadership, protecting retail investors, and regulatory hot topics such as digital assets and cybersecurity.

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