Memo #
23940

SEC Opens Registration for National CCOUTREACH Program to be Held January 26th; Reminder of Committee Meeting and Call
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[23940]

 

November 9, 2009

TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 17-09     RE: SEC OPENS REGISTRATION FOR NATIONAL CCOUTREACH PROGRAM TO BE HELD JANUARY 26TH; REMINDER OF COMMITTEE MEETING AND CALL

 

As we previously advised you, [1] the SEC has scheduled its next CCOutreach Program for Tuesday, January 26th in Washington, DC.  While the Commission announced this date in October, registration for it did not open until today.  Members interested in attending the program in person are encouraged to register as soon as practicable because space will be more limited for this year’s program than in previous years.  This is because, unlike in previous years, the program will also address issues of interest to chief compliance officers of broker-dealers.  The program’s agenda and registration information are available on the SEC’s website at: http://www.sec.gov/info/cco/ccons2010.htm. For those not attending in person, the program will also be broadcast live via the SEC’s website.

 

Please also mark your calendars for the ICI’s CCO Committee meeting, which will be held in Washington, D.C. on January 27th, the day following the SEC’s program.  More information about that meeting will be sent out next month.  Also, please do not forget next week’s conference call of the Committee, which will be held on Tuesday, November 17th from 2-3:30 p.m. (Eastern).  If you plan to participate in next week’s call, please contact Ezella Wynn by phone or email (ewynn@ici.org) for the call-in details as soon as possible.  (This will enable us to track the number of phone lines we will need to sponsor for the call.)  If you have any questions about the call, please contact Tami Salmon at the ICI by phone (202-326-5825) or email (tamara@ici.org).

 

Paul C. Scalvino
Chair Tamara K. Salmon
Senior Associate Counsel
endnotes

 [1]See Institute Memorandum to Chief Compliance Officer Committee No. 16-09 [No. 23910], dated Oct. 28, 2009.