At the National CCOutreach that the Securities and Exchange Commission is planning at its Washington headquarters on Jan. 26, the challenges faced in turbulent markets will be discussed, along with trading oversight and annual compliance reviews.
This year, topics covering investment advisors and broker/dealers will be combined in the one session. Speakers include executives from the SEC’s division of trading and markets, division of investment management, and office of compliance inspections and examinations, as well as executives from the Financial Industry Regulatory Authority.
“We look forward to a constructive dialogue with CCOs of broker/dealer, mutual fund and investment advisory firms as we seek to achieve our common goal of investor-oriented compliance and oversight,” said SEC Chairman Mary Schapiro.
The SEC is currently accepting registrants for the program, which starts at 8:30 a.m., with seating limited to 500.