[ by Howard Haykin ]

The SEC on Tuesday announced that its next National Compliance Outreach Program for Broker-Dealers will take place 4/9/13 at the SEC's Washington D.C. headquarters.  The SEC's Office of Compliance Inspections and Examinations (OCIE) and Division of Trading and Markets will participate, along with FINRA officials.  The program will feature 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."

"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." 

-- Carlo di Florio, OCIE Director, who runs the SEC National Examination Program. 

Registration.  Capacity for in-person attendance is limited to 500 people - with registration on a first-come-first-served basis.  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 (with max of 10 per firm) on a first-come, first-served basis.  The event also will be webcast on the SEC website.

To register, go to:   [Outreach Program Registration]. 

For further details, go to:   [SEC PR 13-9, 1/23/13].