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Agenda for Today's CCOutreach Seminar on Valuation

The SEC has announced the agenda for today's CCOutreach Interactive Broadcast Seminar focused on valuation issues.  Today's program will include a panel discussion by SEC examination staff on valuation issues. Rule 206(4)-7 of the Investment Advisers Act of 1940 requires SEC registered advisers to adopt and implement written compliance policies and procedures.  During this CCOutreach seminar, SEC examination staff will discuss valuation issues, including common deficiencies and the Chief Compliance Officer's role in the valuation process.  The discussions will focus primarily on:

  • Difficult to value securities
  • Valuation challenges in volatile markets
  • Bond fund valuation
  • The Chief Compliance Officer's role in the valuation process
  • Common deficiencies and weaknesses noted in the area of valuation

The CCOutreach Interactive Broadcast Seminar will be held today from 12:30 p.m. to 3:30PM  EDT, and will be simulcast over the Internet through the SEC's website. In addition, the Seminar will also be accessible in person at the Commission's headquarters at 100 F Street, N.E., Washington, D.C. 20549. In-person attendance is limited to 500, with investment adviser and investment company CCOs given priority on a first-come, first-served basis. There is no charge to view the webcast or to attend this seminar in person.  More details are available at

An archived version of the broadcast will be available after the event via the SEC's website.