2014 Regional Compliance Outreach Program for Broker-Dealers

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Meeting

The Regional Compliance Outreach Program for Broker-Dealers is designed for risk, audit, legal and compliance professionals employed by broker-dealers. Its focus is to promote strong compliance practices for the protection of investors. The SEC's Office of Compliance Inspections and Examinations, in coordination with the SEC's Division of Trading and Markets, will partner with FINRA to sponsor the programs.

Date: June 30, 2014
Location: United Federation of Teachers - New York, NY

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