04 April 2017
Washington DC
Reporter: Drew Nicol

SEC to build bridges with broker-dealers


The US Securities and Exchange Commission (SEC) has invited broker-dealers to attend an open forum to discuss market compliance and improve communication between the regulator and market participants.

The SEC’s outreach programme, run in partnership with the Financial Industry Regulatory Authority (FINRA), will take place on 27 July.

It will be held at the SEC’s Washington DC headquarters from 10:30am to 4:45pm.

Registration for the event is now open and attendance is limited to 500 on a first-come, first-served basis. There will be a maximum of 10 attendees per firm but the event will be webcast live on the SEC’s website.

According to the SEC, the free-to-attend event is aimed at industry professionals, including compliance, audit, and other senior personnel of broker-dealer firms and branch offices, to discuss current compliance practices and promote an effective compliance structure for the protection of investors.​

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