Recent Entries«Return to Main Blog Page
2019 National Compliance Outreach Program for Broker-Dealers
June 25, 2019
OUTSIDE NEWS - The 2019 National Compliance Outreach Program for Broker-Dealers will take place June 27th at the Federal Reserve Bank of Chicago from 9am-4pm (central time). Sponsored by the SEC's Office of Compliance Inspections and Examinations (OCIE), in coordination with the SEC's Division of Trading and Markets and the Financial Industry Regulatory Authority (FINRA), it is a free conference that can be attended in person or via live broadcast. "The program provides an open forum for regulators and industry professionals to share strong compliance practices and promote the exchange of ideas to develop an effective compliance structure. Registration is required.
SER Members serve parties engaged in securities disputes. SER is a party-neutral organization. Items published in this Newsroom that express an opinion or a party bias are not reflective of SER's policy positions or its views as an organization. Items published in the Newsroom on this Website may also be published on SER's LinkedIn Page.
Members: To submit a news item to the Newsroom, first log in, then return to "Newsroom" and press the grey button that will appear here.
|© Securities Experts Roundtable|