New Outreach Program Aimed At Broker-Dealer CCOs

Law360, New York (October 30, 2007, 12:00 AM EDT) -- The U.S. Securities and Exchange Commission and the Financial Industry Regulatory Authority announced a new initiative Tuesday aimed at promoting strong compliance practices at broker-dealer firms.

Under the initiative, known as the CCOutreach BD program, the two agencies will hold a seminar at the SEC headquarters in Washington ,D.C., to help broker-dealer chief compliance officers “ensure effective communication about compliance risks, maintain effective compliance controls and foster strong compliance programs within their firms.”

The program will also feature regional compliance seminars across the country.

“This is...
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