The Securities and Exchange Commission and the Financial Industry Regulatory Authority will hold seminars to help chief compliance officers and broker/dealers, much as the SEC helps CCOs at investment companies through its CCOutreach. The program will be called CCOutreach BD, with the first national meeting tentatively scheduled for March, followed by regional meetings throughout the country.

“This is an opportunity for broker/dealers and their regulators to learn from one another about how best to ensure compliance with the securities laws,” said SEC Chairman Christopher Cox.

Subscribe Now

Access to premium content including in-depth coverage of mutual funds, hedge funds, 401(K)s, 529 plans, and more.

3-Week Free Trial

Insight and analysis into the management, marketing, operations and technology of the asset management industry.