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US SEC and FINRA to discuss digital assets and cybersecurity at National Compliance Outreach Program for Broker-Dealers

Wed, 17 Apr 2019, 10:59 am UTC

The United States Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) are going to hold the National Compliance Outreach Program for Broker-Dealers on June 27, 2019.

The program will bring together regulators and industry professionals including compliance, internal audit, and other senior personnel of broker-dealer firms to discuss current compliance practices and promote the exchange of ideas to develop a more effective compliance structure.

According to the press release, the program will focus on insights from leadership, protecting retail investors, and regulatory “hot topics” such as digital assets and cybersecurity.

"As our regulatory program evolves to meet the challenges of new markets, new products and new rules, FINRA engages with member firms, compliance leaders and other regulators in meaningful discussions that enrich our regulatory efforts and provide broker-dealers with the tools and information needed to better serve investors," said Mike Rufino, Executive Vice President and Head of FINRA Member Regulation—Sales Practice.

The program is sponsored by the SEC's Office of Compliance Inspections and Examinations (OCIE), in coordination with the SEC's Division of Trading and Markets and the FINRA.

Registrations are now open for the program with in-person attendance limited to 250 on a first-come, first-served basis. There will be a maximum of four attendees per firm. Those who cannot attend the program in-person can opt for a live webcast.

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