Registration Open for SEC-FINRA Broker-Dealer Compliance Program

Registration is open for the 2015 National Compliance Outreach Program for Broker-Dealers, to be held July 14 at the Securities and Exchange Commission’s Washington headquarters.

In a joint release with the Financial Industry Regulatory Authority, the agency said the program “is intended to provide an open forum for regulators and industry professionals to discuss compliance practices and exchange ideas on effective compliance structures.”

This year’s program will focus on 2015 priorities for the SEC’s Office of Compliance Inspections and Examinations and FINRA. Current topics of interest also will be discussed, including cybersecurity, anti-money laundering and firms’ approaches to ...