WASHINGTON — The Securities and Exchange Commission and the Financial Industry Regulatory Authority have formed an alliance to further promote strong compliance practices at broker-dealer firms for the protection of investors.
The CCOutreach BD program will help broker-dealer chief compliance officers ensure effective communication about compliance risks, maintain effective compliance controls, and foster strong compliance programs within their firms.
The SEC's Office of Compliance Inspections and Examinations, in coordination with the Division of Market Regulation, will sponsor the CCOutreach BD program together with FINRA. The program will feature a National Seminar at SEC headquarters in Washington tentatively scheduled for March 2008, as well as regional compliance seminars across the country.
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The new partnership comes as NCUA continues to work with SEC on developing a proposal that would extend broker-dealer exemptions to credit unions.
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