The SEC and FINRA have rolled out regional compliance outreach programs for broker-dealers across the US.

The Securities and Exchange Commission and the Financial Industry Regulatory Authority have rolled out regional compliance outreach programs for broker-dealers across the US.

Starting this spring, the programs will be held in Denver, CO, Los Angeles, CA, Chicago, IL, Miami, FL, Philadelphia, PA, and New York.

“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 about risk management, regulatory issues, and compliance practices,” the SEC said in a statement.

“The compliance outreach program is an important part of the Commission’s and FINRA’s initiative to share information with the industry about observed deficiencies and control weaknesses and to assist firms in assessing and enhancing their compliance,” said Andrew Bowden, director of the SEC’s national examination program.

There is no cost to attend and registration is open to all risk, audit, legal and compliance professionals employed by broker-dealers.