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News October 9, 2006 Issue

SEC Now Accepting CCOutreach National Seminar Registrations

The SEC is now accepting registrations for its second annual CCOutreach National Seminar. The free event will be held Tuesday, November 14, from 9 am to 5 pm at the SECís Washington, DC headquarters. It also will be webcast live, and an archive of the webcast will be made available on the SECís website.

If you want to attend in person, itís best to pipe up sooner rather than later. Last year, the event was over-subscribed. "All seats were spoken for," said SEC spokesperson John Heine. In-person attendance will again be limited to 500 individuals, with CCOs given priority on a first-come, first-served basis.

The program features a number of senior SEC officials, both from the agencyís headquarters in Washington, D.C. as well as from its various regional offices. After opening remarks by Chairman Christopher Cox, the seminar will begin with a panel discussion of the annual review experience, from CCOsí perspective as well as the examination staffís point of view. The next two panels will focus on common exam areas, such as best execution, trade allocation, business continuity, hedge funds, valuation, and soft dollars. The discussion will describe the type of documentation and information that examiners request, why they do so, and how CCOs can use the same information to enhance their firmís compliance program.

The last panel will address lessons learned from sweep exams, covering topics such as fund portfolio valuation, omission/misrepresentation of information, inappropriate use of fund assets, improper/undisclosed arrangements, and internal controls.

To register for the CCOutreach National Seminar, send an e-mail to "" with your name, your firmís name, and your title. Folks with a "CCO" in their title will be given priority. The SEC will reply back via e-mail to confirm the registration.