Yesterday, the SEC announced that, in cooperation with FINRA, they are launching an educational forum geared towards BD compliance officers. According to the release, "the CCOutreach BD
program will help broker-dealer chief compliance officers (CCOs) ensure
effective communication about compliance risks, maintain effective
compliance controls, and foster strong compliance programs within their
firms." The national seminar is currently scheduled for March 2008 in DC; registration details will be forthcoming.
Importantly, the organizers are seeking input from CCOs as to topics to be addressed. See here to see the possible topics, and ways to communicate your preferences.
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- Joel Beck, a former NASD Department of Enforcement lawyer, formed The Beck Law Firm, LLC in 2007. Joel's practice primarily focuses on representing broker-dealers, stockbrokers and investment advisers in disciplinary investigations and actions, customer complaints, arbitration claims and civil litigation, as well as representing investors in securities arbitration claims. Joel has been designated a Certified Regulatory and Compliance Professional (CRCP) by the NASD Institute at the Wharton School of Business, University of Pennsylvania. Click on the link above to visit our website and learn more.
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October 31, 2007
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