Compliance Outreach Program — Regional Seminars

May 12, 2017

Regional seminars are typically hosted by the SEC's regional offices and held in the spring and summer in various cities throughout the country.

These seminars are intended to address the "nuts and bolts" of compliance-related issues. The topics may be most beneficial for mid-size and smaller advisory firms' chief compliance officers (CCOs) and other senior officers. These seminars enable CCOs and other senior officers to get the information directly from their local SEC office.

Upcoming Events

Contact ComplianceOutreach@sec.gov with any questions about regional seminars.

Last Reviewed or Updated: April 21, 2026