{"id":3022,"date":"2015-05-20T00:00:00","date_gmt":"2015-05-20T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/sec-and-finra-holding-compliance-program-for-broker-dealers\/"},"modified":"2018-10-08T12:42:23","modified_gmt":"2018-10-08T16:42:23","slug":"sec-and-finra-holding-compliance-program-for-broker-dealers","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/sec-and-finra-holding-compliance-program-for-broker-dealers\/","title":{"rendered":"SEC and FINRA Holding Compliance Program for Broker-Dealers"},"content":{"rendered":"<\/p>\n

Later this summer the Securities and Exchange Commission (SEC) and the Financial Industry National Regulatory Authority (FINRA) will jointly hold a National Compliance Outreach Program for Broker-Dealers<\/a>. This one-day program is designed for compliance, audit, and risk officers of broker-dealer firms and frequently highlights areas of concern to FINRA.<\/p>\n

Details of the Program<\/strong><\/h4>\n

The program was created with the intention that it will provide regulators and industry professionals an open forum for discussion related to compliance practices. In addition, the program helps to facilitate the exchanging of ideas related to effective and efficient compliance structures.<\/p>\n

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

Later this summer the Securities and Exchange Commission (SEC) and the Financial Industry National Regulatory Authority (FINRA) will jointly hold a National Compliance Outreach Program for Broker-Dealers. This one-day program is designed for compliance, audit, and risk officers of broker-dealer firms and frequently highlights areas of concern to FINRA. Details of the Program The program […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578],"tags":[],"class_list":["post-3022","post","type-post","status-publish","format-standard","hentry","category-all-releases"],"yoast_head":"\nSEC and FINRA Holding Compliance Program for Broker-Dealers — Securities Arbitration Lawyers Blog — May 20, 2015<\/title>\n<meta name=\"description\" content=\"Later this summer the Securities and Exchange Commission (SEC) and the Financial Industry National Regulatory Authority (FINRA) will jointly hold a — May 20, 2015\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/sec-and-finra-holding-compliance-program-for-broker-dealers\/\" \/>\n<meta name=\"twitter:card\" 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