Skip to main content    

Company Filings

U.S. Securities and Exchange Commission

                        -  About                            -  Careers 
                          -  Commissioners 
                          -  Contact 
                          -  Reports and Publications 
                          -  Securities Laws 
                          -  Mission 
                          -  Commission Votes 
                        -  Divisions & Offices                            -  Corporation Finance 
                          -  Enforcement 
                          -  Investment Management 
                          -  Economic and Risk Analysis 
                          -  Trading and Markets 
                          -  Office of Administrative Law Judges 
                          -  Examinations 
                        -  Enforcement                            -  Litigation Releases 
                          -  Administrative Proceedings 
                          -  Opinions and Adjudicatory Orders 
                          -  Accounting and Auditing 
                          -  Trading Suspensions 
                          -  How Investigations Work 
                          -  Receiverships 
                          -  Information for Harmed Investors 
                        -  Regulation                            -  Rulemaking Activity 
                          -  Proposed Rules 
                          -  Final Rules 
                          -  Interim Final Temporary Rules 
                          -  Other Orders and Notices 
                          -  Self-Regulatory Organizations 
                          -  Staff Interpretations 
                        -  Education                            -  Investor Education 
                          -  Glossaries 
                          -  Small Business Capital Raising 
                        -  Filings                            -  EDGAR – Search & Access 
                          -  EDGAR – Information for Filers 
                          -  Company Filing Search 
                          -  How to Search EDGAR 
                          -  Forms List 
                          -  About EDGAR 
                        -  News                            -  Press Releases 
                          -  Speeches and Statements 
                          -  Securities Topics 
                          -  Upcoming Events 
                          -  Webcasts 
                          -  SEC Videos 
                          -  Media Gallery 

                -  U.S. Securities and Exchange Commission                    -  Divisions & Offices 
                  -  Enforcement 
                  -  Regulation 
                  -  Education 
                  -  Filings 
                  -  Newsroom 
                -  Newsroom                    -  Press Releases 
                  -  Testimony 
                -  RSS Feeds                    -  Press Releases 
                  -  Public Statements 
                  -  Speeches 
                  -  Testimony 

## Newsroom Left Nav

-  Newsroom 
-  Press Releases 
-  Speeches and Statements 
-  SEC Stories  
-  Securities Topics 
-  Media Kit 
-  Press Contacts 
-  Events 
-  Webcasts 
-  Media Gallery 
-  RSS Feeds    -  Press Releases 
  -  Speeches and Statements 
  -  Litigation Releases 
  -  Investor Alerts 
  -  More RSS Feeds 
-  Social Media    -  @SECGov 
  -  SEC Channel 
  -  View All Social Media 

## Newsroom Left Nav

-  Newsroom 
-  Press Releases 
-  Speeches and Statements 
-  SEC Stories  
-  Securities Topics 
-  Media Kit 
-  Press Contacts 
-  Events 
-  Webcasts 
-  Media Gallery 
-  RSS Feeds    -  Press Releases 
  -  Speeches and Statements 
  -  Litigation Releases 
  -  Investor Alerts 
  -  More RSS Feeds 
-  Social Media    -  @SECGov 
  -  SEC Channel 
  -  View All Social Media 

#               Press Release            

# SEC to Hold National Compliance Event for Broker-Dealers

FOR IMMEDIATE RELEASE          2013-9        

          Washington, D.C.,           Jan. 23, 2013 —        

  The Securities and Exchange Commission today announced the opening of registration for its National Compliance Outreach Program for Broker-Dealers that will take place in Washington D.C. on April 9.

The event is sponsored by the SEC's Office of Compliance Inspections and Examinations in coordination with the SEC's Division of Trading and Markets and the Financial Industry Regulatory Authority (FINRA).  It provides a forum for open discussions about effective compliance practices for broker-dealers and will focus on topics of interest to compliance, risk, and audit officers of large broker-dealers with multiple and complex business lines.

"To be effective, compliance and ethics programs cannot exist in silos. They need to be ingrained in the DNA of the organization and the decision-making framework of the organization. They need to be part of the way business is done," said Carlo di Florio, Director of the SEC's National Examination Program.  "Compliance and risk management programs add tremendous business value.  They protect the business.  They enhance the brand.  They ensure that reputation is protected.  Our National Compliance Outreach Program is one of the ways that we try to support and enhance the compliance and risk management functions of firms."

FINRA Member Regulation EVP Susan Axelrod added, "FINRA is pleased to continue the partnership with the SEC to provide this opportunity for broker-dealer compliance professionals and regulators to foster two-way communication and work together to protect investors.  Given the pace of change in the industry, face-to-face meetings of this kind are more valuable than ever."

There is no cost to attend the event, which will be held at the SEC's headquarters at 100 F Street NE in Washington.  Registration for in-person attendance is limited to 500 people on a first-come, first-serve basis.  There will be a maximum of 10 attendees per firm.  The event also will be webcast on the SEC website.

To register for the 2013 National Compliance Outreach Program for Broker Dealers, visit the SEC website at www.sec.gov/info/complianceoutreach-bd.htm.

###

SOCIAL MEDIA1Twitter 2Facebook2Instagram3RSS4YouTube6LinkedIn8Email Updates

## About The SEC

-  Budget & Performance 
-  Careers 
-  Commission Votes 
-  Contact 
-  Contracts 
-  Data Resources 

## Transparency

-  Accessibility & Disability 
-  FOIA 
-  Inspector General 
-  No FEAR Act & EEO Data 
-  Ombuds 
-  Whistleblower Protection 

## Websites

-  Investor.gov 
-  Related Sites 
-  USA.gov 

## Site Information

-  Plain Writing 
-  Privacy & Security 
-  Site Map 

**Return to Top