On January 23rd, the SEC opened registration for its National Compliance Outreach Program for Broker-Dealers that will take place in Washington D.C. on April 9, 2013. The event is sponsored by the SEC's Office of Compliance Inspections and Examinations in coordination with the SEC's Division of Trading and Markets and the Financial Industry Regulatory Authority. The conference will provide a forum for discussing effective compliance practices and will focus on topics of interest to compliance, risk, and audit officers of large broker-dealers with multiple and complex business lines. SEC Press Release.
Register now for your free, tailored, daily legal newsfeed service.
Questions? Please contact email@example.comRegister
Registration opens for Broker-Dealer compliance conference
Popular articles from this firm
If you would like to learn how Lexology can drive your content marketing strategy forward, please email firstname.lastname@example.org.
Related topic hubs
Squire Patton Boggs
“I find the articles on the Lexology newsfeed very relevant and up to date on a variety of topics of interest to my areas of practice. The authors are reliable and current on the topics about which they opine. Even when several law firms write on the same topic, I can often glean new viewpoints and perspectives from the different firms. The headings are also helpful because they briefly and accurately describe the topic and enable me to quickly and efficiently decide what I may or may not want to read in more detail."