The SEC and FINRA want to reach out and talk directly to advisorsbut theyre not saying, at least for now, what they want to talk to them about.
The planned series of outreach sessions will provide professionals at broker-dealers with a forum for discussions with regulators about risk management, regulatory issues, and compliance practices, according to a statement posted to the SECs web site. The day-long sessions will be held in Denver, Los Angeles, Chicago, Miami, Philadelphia and New York beginning April 30 and ending June 30, and broker-dealers can register for the sessions now on either the SEC or the FINRA site.
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