National Compliance Event Hosted by the SEC

This week in Washington DC the Securities and Exchange Commission will host a national compliance event for broker dealers.  The April 9th event is part of an SEC outreach program.  The event is free to attend and will provide broker dealers with an opportunity to meet industry peers, learn best practices, and further their education regarding SEC and FINRA regulations.  It will be held at the SEC headquarters at 100 F Street NE in Washington DC.

The broker dealer industry has changed significantly and will continue to do so.  With Congress looking for additional ways to regulate broker dealers, and financial service providers, it is important for industry executives to stay informed and incorporate changes into their daily operations.  This event is supposed to provides information, ideas, and tips for how to stay in compliance and mitigate exposure to risk.

Susan Axelrod, FINRA Member Regulation EVP, said in a statement, “FINRA is pleased to continue the partnership with the SEC to provide this opportunity for broker-dealer compliance professionals and regulators to foster two-way communication and work together to protect investors. Given the pace of change in the industry, face-to-face meetings of this kind are more valuable than ever.”

This event will be most valuable to broker dealers with complex business lines, as it provides a forum for asking questions and obtaining instant feedback.  Audit officers are invited to attend as well.  They will feature discussions on net capital compliance, risk management, sales and trading compliance.  Those of you using to reach out to investors to sell Private Placements and other investment opportunities can use this event to gain further compliance information.

Since the event is free this provides an excellent opportunity for emerging broker dealers to interact with more seasoned industry professionals and learn from their best practices.  Additionally securities attorneys are not cheap.  Attending the event will give broker dealers answers to questions directly from the SEC, at their corporate headquarters.  An airplane ticket will likely cost less than one hour of an SEC attorneys time so if you haven’t registered yet go to, and sign up.

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