Exams Among Possible CCOutreach Topics for 07
December 11, 2006
The Securities and Exchange Commission has announced possible topics for its ongoing CCOutreach seminars across the country next year, among them examinations, risk assessment and brokerage arrangements.
The seminars, to be held in April, May and June, may also cover: best execution, trade allocation, personal securities transactions, pricing and valuation, marketing and advertising, disclosures and filings, books and records, and protection of client assets.
The SEC selected the topics based on feedback from chief compliance officers who attended this year's seminars.
The SEC is still accepting suggestions at: CCOutreach@sec.gov.
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