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News December 18, 2006 Issue

SEC Seeks Input on CCOutreach Topics

The architects of the SECís CCOutreach program are looking for user feedback as they go about selecting discussion topics for the next round of CCOutreach regional seminars.

At last monthís CCOutreach National Seminar, OCIE director Lori Richards asked CCOs to weigh in on a list of potential discussion topics for the regional seminars, which will be held next April, May, and June (specific dates and locations have not yet been announced). The SEC subsequently issued a press release along the same lines. "We want the CCOutreach program to be as helpful as possible to CCOs by addressing the areas of interest or concern that CCOs feel are important," said Richards.

Each of the 2007 CCOutreach regional seminars will address four or five topics. Possible topics include, but are not limited to:

  • the examination process;
  • the risk assessment process;
  • portfolio management;
  • brokerage arrangements, best ex, and trade allocation;
  • personal securities transactions;
  • pricing and valuation;
  • books and records;
  • disclosures and filings;
  • marketing, performance advertising, and distribution; and
  • safety of client assets.

For each selected topic, the regional seminars will address the information and documents that are requested during exams, as well as frequent examination findings. The seminars will suggest "analyses" that may be performed in each area, as well as factors that should be considered when establishing compliance controls.

To vote on your preferred topics, or to make other suggestions for the upcoming regional seminars, simply send an e-mail to by the end of the year.