{"id":4521,"date":"2007-11-07T18:56:14","date_gmt":"2007-11-07T18:56:14","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2007\/11\/sec_and_finra_announce_plan_to"},"modified":"2022-03-28T14:34:14","modified_gmt":"2022-03-28T19:34:14","slug":"sec-and-finra-announce-plan-to","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/sec-and-finra-announce-plan-to\/","title":{"rendered":"SEC and FINRA Announce Plan to Help Broker-Dealer CCO\u2019s with Compliance Controls"},"content":{"rendered":"

The Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) have introduced an initiative that will assist broker-dealer chief compliance officers in maintaining compliance controls that work, creating effective communications about compliance risks, and implementing solid compliance programs at brokerage firms.<\/p>\n

Regional and national seminars will be designed to focus on increased compliance practices at brokerage firms to increase investor protection. FINRA and SEC said that this new initiative is similar to the SEC’s current CCOutreach Program for investment company chief compliance officers and investment advisers.<\/p>\n

A national compliance seminar is tentatively scheduled for March 2008 at the SEC headquarters in Washington D.C. Regional seminars will be held in cities across the United States.<\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

The Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) have introduced an initiative that will assist broker-dealer chief compliance officers in maintaining compliance controls that work, creating effective communications about compliance risks, and implementing solid compliance programs at brokerage firms. Regional and national seminars will be designed to focus on increased […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3774,3739,3801],"tags":[],"class_list":["post-4521","post","type-post","status-publish","format-standard","hentry","category-broker-dealers","category-finra","category-sec"],"yoast_head":"\nSEC and FINRA Announce Plan to Help Broker-Dealer CCO\u2019s with Compliance Controls — Investor Lawyers Blog — November 7, 2007<\/title>\n<meta name=\"description\" content=\"The Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) have introduced an initiative that will assist — November 7, 2007\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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