SEC and FINRA To Hold 2014 Regional Outreach to Broker-Dealers

Broker-dealers are reminded, beginning this  spring, the SEC’s Office of Compliance Inspections and Examinations (OCIE), and the SEC’s Division of Trading and Markets, is partnering with FINRA to sponsor regional compliance outreach programs for broker-dealers. The programs will take place in Denver, Los Angeles, Chicago, Miami, Philadelphia, and New York.  Registration is open to all broker-dealer risk, audit, legal, and compliance professionals.

Similar to the 2013 national compliance outreach program for broker-dealers, the regional programs will provide professionals at broker-dealers with a forum for discussions with regulators of  risk management, regulatory issues, and compliance practices.

While giving broker-dealers a forum to address their own concerns about regulation, this year’s agenda will likely include panel discussions with OCIE and FINRA staff about such topics as SEC and FINRA 2014 exam priorities based on observations of problems the two regulators are seeing and how they are being addressed through examination and enforcement.

Information about the program is available at

The locations and dates for the program are as follows:

Location Date Venue Agenda
Denver April 30, 2014 Sheraton Denver Tech Center Hotel
7007 S Clinton Street
Greenwood Village, CO 80112
(303) 799-6200
Available in March
Los Angeles


April 30, 2014 Omni Los Angeles Hotel at California Plaza
251 South Olive Street
Los Angeles, CA 90012
(213) 617-3300
Available in March
Chicago June 4, 2014 Federal Reserve Bank of Chicago
230 South LaSalle Street
Chicago, IL 60604
(312) 322-5322
Available in May
Miami June 4, 2014 SEC Miami Regional Office
801 Brickell Avenue
17th Floor Conference Room
Miami, FL 33131
(305) 982-6300
Available in May
Philadelphia June 16, 2014 Federal Reserve Bank of Philadelphia
10 Independence Mall
Philadelphia, PA 19106
(215) 574-6000
Available in May
New York


June 30, 2014 United Federation of Teachers
52 Broadway
New York, NY 10004
(212) 598-9267
Available in May

Author: Dexter Johnson

The author is a an attorney who for the past 14 years has concentrated his practice in representing, successfully, investment advisers, broker-dealers, corporations and individuals who are subject to SEC, FINRA, State or other regulations and who may be the subject of regulatory examination, review or investigation. He formerly worked at the SEC. His regulatory and litigation experience has encompassed virtually every type of securities issue in the industry. He has also negotiated favorable outcomes in many of these matters for his clients.