The SEC and FINRA, once again, will host the annual CCOutreach National Seminar for broker-dealer chief compliance officers - at SEC headquarters in Washington, D.C., on 2/8/11. 

Click the following links for additional details about the prgram and seminar:  SEC website and FINRA website.  Registration for the seminar begins next month.  Further details, below.

The seminar - a forum discussion on effective compliance practices and timely compliance issues - helps prepare B/D CCOs to effectively communicate with firm personnel on compliance risks, to maintain compliance controls, and to foster robust firm-wide compliance programs.

"The CCOutreach BD program has proven invaluable in helping the SEC understand the needs and concerns of compliance officers." -- Carlo di Florio, Director of SEC's OCIE.

"FINRA is pleased ... to provide this opportunity for broker-dealer compliance chiefs and regulators to foster open lines of communication, share information and work together."  -- Susan Axelrod, FINRA EVP, Member Regulation.

Panelists at the CCOutreach BD National Seminar will include SEC and FINRA staff and B/D CCOs.  The seminar will feature relevant topics for broker-dealer CCOs or senior compliance staff if CCOs cannot attend.   CCOs are requested to submit topics for discussion.  There's no cost to attend the National Seminar, but attendance is limited to 500 with priority given to B/D CCOs on a first-come, first-serve basis.  The event also will be webcast on the SEC website.  [FINRA News, 10/22]