SEC Announces CCOutreach Seminar
The SEC has announced its next national CCOutreach seminar for January 26, 2010 in Washington. For the first time, the SEC has combined the programs for CCOs of investment advisers, investment companies, and broker-dealers. The planned agenda includes regulatory hot topics (market turmoil, mergers and acquisitions, custody), IA and BD examinations, annual compliance reviews, and compliance oversight of trading. In-person registration for up to 500 is on a first-come/first-serve basis, although anybody can view the seminar via web simulcast.
OUR TAKE: The SEC appears to have announced two new hot topics: mergers and acquisitions and compliance oversight of trading. It will also be interesting to hear about the changes in the SEC’s examination program.