SEC Press press_release 5 KB 1,994 chars

Press Release: <i>CCOutreach</i> BD National Seminar to Be Held March 7

Release: 2007-244

summary

The SEC and FINRA announced a voluntary compliance education seminar for broker-dealer Chief Compliance Officers, with no fraud, charges, or financial penalties involved, as the initiative aimed solely to promote investor protection through regulatory outreach.

paragraph

The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) jointly announced the launch of the CCOutreach BD National Seminar, scheduled for March 7, 2008, at SEC headquarters in Washington, D.C. The event was designed as an educational outreach program to help broker-dealer Chief Compliance Officers (CCOs) improve compliance practices and protect investors, featuring panel discussions with regulators and industry representatives. No allegations of fraud, misconduct, fines, or legal charges were mentioned; the initiative relied on voluntary participation and public input from CCOs via email by November 30, 2007.

narrative

The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) announced on November 27, 2007, the inaugural CCOutreach BD National Seminar to be held on March 7, 2008, at SEC headquarters in Washington, D.C. This initiative was part of a broader compliance outreach program launched on October 30, 2007, aimed at strengthening compliance practices among broker-dealer firms to better protect investors. The seminar was structured as an educational forum, featuring panel discussions with SEC and FINRA staff alongside broker-dealer Chief Compliance Officers (CCOs) to address key regulatory developments. To ensure relevance, the agencies solicited input from CCOs via email through November 30, 2007, inviting suggestions on agenda topics for both the national and future regional seminars. No fraud, enforcement actions, financial penalties, or allegations of wrongdoing were associated with this announcement. The program was entirely proactive and non-punitive, focused on collaboration and knowledge-sharing rather than litigation or sanctions. Registration details and agenda information were to be posted on the SEC and FINRA websites, emphasizing transparency and industry engagement. The outcome was the planned educational event, not any legal resolution or disciplinary action.

Enriched metadata

Scheme: non-corporate (100%)

Classified non-corporate(confidence 100%). No EDGAR filing fingerprint (criminal/DOJ-side scheme). detection rule →

Extracted insights

Entities 5

person ccoutreach program
agency Finra
person national seminar
agency sec staff
agency Securities and Exchange Commission

Triples 9

SEC announced CCOutreach BD National Seminar at SEC headquarters in Washington, D.C. on March 7, 2008
FINRA announced CCOutreach BD National Seminar at SEC headquarters in Washington, D.C. on March 7, 2008
SEC announced establishment of CCOutreach program for broker-dealers on October 30
FINRA announced establishment of CCOutreach program for broker-dealers on October 30
CCOutreach Program intended to promote strong compliance practices at broker-dealer firms for investor protection
National Seminar scheduled for March 7, 2008
Registration begins early January 2008
SEC Staff sending e-mail reminder to CCOs of broker-dealer firms by November 27, 2007
CCOs encouraged to provide suggestions by November 30, 2007

View original SEC press releasesec.gov

Extracted body text (1,994c)

CCOutreach BD National Seminar to Be Held March 7 FOR IMMEDIATE RELEASE 2007-244 Washington, D.C., November 27, 2007 - The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) announced today that the inaugural event of the CCOutreach BD program will be a National Seminar at SEC headquarters in Washington, D.C. on March 7, 2008. Registration for the National Seminar will begin in early January 2008. Detailed information about the National Seminar, including information regarding registration, will be posted on the SEC Web site at http://www.sec.gov/info/bdccoutreach.htm and on the FINRA Web site at http://www.finra.org/bdccoutreach as it becomes available. The SEC and FINRA announced the establishment of the CCOutreach program for broker-dealers on October 30. The program is intended to further promote strong compliance practices at broker-dealer firms for the protection of investors, and it will feature the National Seminar as well as regional compliance seminars across the country. The National Seminar will include panel discussions with SEC and FINRA staff and broker-dealer CCO representatives on the latest compliance developments and significant compliance issues relevant to the broker-dealer community. The SEC and FINRA are soliciting input from CCOs of broker-dealer firms to ensure that the National Seminar includes the compliance topics of most interest to broker-dealer CCOs and otherwise meets their needs. SEC staff is sending an e-mail reminder to CCOs of broker-dealer firms encouraging CCOs to provide suggestions by Nov. 30, 2007, regarding the National Seminar generally and about topics to be included at the 2008 National Seminar and future regional seminars. CCO input may be provided by e-mail to [email protected] or [email protected]. A list of potential agenda items is posted on the SEC and FINRA Web sites. # # # http://www.sec.gov/news/press/2007/2007-244.htm Home | Previous Page Modified: 11/27/2007

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