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The Securities and Exchange Commission and the Financial Industry Regulatory Authority announced the second annual CCOutreach BD National Seminar will be held on March 10, 2009. 

Like the SEC’s CCOutreach program for chief compliance officers at mutual fund companies, the CCOutreach DB National Seminar is organized for CCOs, but at broker/dealers. It will focus on compliance risks, controls and programs. Following the national seminar, the SEC and FINRA will hold five regional CCOutreach BD seminars.

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