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SEC Opens Registration for CCOutreach National Seminar

The SEC has announced the opening of registration for the CCOutreach National Seminar scheduled for Jan. 26, 2010, at the SEC's headquarters in Washington, DC.  This annual roundtable event "includes panel discussions to analyze compliance issues being faced by investment advisers, mutual funds, and broker-dealers."  According to the SEC:

Panel discussion topics at this year's National Seminar for CCOs include the challenges faced in turbulent markets, administering compliance and annual reviews, and oversight of the trading process. Panelists will include representatives from the SEC's Division of Trading and Markets, Division of Investment Management, and Office of Compliance Inspections and Examinations as well as CCOs and representatives from the Financial Industry Regulatory Authority (FINRA).

This year's agenda includes panels on:


    • Regulatory and compliance hot topics;


    • Investment adviser/investment company examination program


    • Administering compliance and annual reviews;


    • Broker-dealer examination program; and


    • Overseeing the trading process.


The event's agenda is available at:

In-person attendance at the CCOutreach National Seminar is limited to 500, with CCOs given priority on a first-come, first-served basis.   For those not able to attend, the event will be webcast via this link:

Online registration is available at: