Alert January 15, 2008

SEC and FINRA Announce Opening of Registration for CCOutreach BD National Seminar

The SEC and FINRA announced the opening of registration for the inaugural CCOutreach BD National Seminar for broker-dealer chief compliance officers (CCOs), which will be held on March 7, 2008 at SEC  headquarters in Washington, D.C.  The seminar will include panel discussions with SEC and FINRA staff and CCO representatives from both large and small broker-dealers about the latest compliance developments relevant to CCOs.  The national seminar will be followed by a series of regional seminars held by SEC and FINRA staff, whose dates and locations have not yet been announced.  The National Seminar agenda and registration information are available at http://www.sec.gov/info/bdccoutreach.htm and http://www.finra.org/bdccoutreach.  (For more on the CCOutreach BD program, which is modeled after the ongoing CCOutreach Program for the CCOs of registered investment advisers and registered investment companies, see the November 6. 2007 Alert.)