May 30, 2019 | News

SEC Planning Broker Dealer Compliance Outreach Seminar – Chicago

The SEC and Finra are hosting their 2019 National Compliance Outreach Program for Broker Dealers on June 27th in Chicago.  The program will be held at the Federal Reserve Bank of Chicago.  Additionally, the compliance program will also be webcast.

The focus will be on insights from Finra and SEC leadership, protecting retail investors, hot topics such as digital assets and the regulations that apply, cybersecurity, and AML.

There is no cost to attend the event.  In-person attendance is limited to 250 attendees on a first come, first served basis with a max of four attendees per firm.

CPE, CRCP, and CFP continuing education vouchers will be available to in person attendees only.

The program is slated to begin at 9:00 a.m. and end approximately at 3:00 p.m. CST.

Registration is now open.  To register, click here.

Interested in the Agenda?  To view it, click here.