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News October 3, 2011 Issue

SEC to Host CCOutreach for Advisers in 2012

Mark your calendars Ė January 31, 2012 is the date, and the SECís Washington, D.C. headquarters is the place.

After a hiatus of several years, the SEC has set the date for its next national Investment Adviser/Investment Company CCOutreach seminar. No information is available on the SEC website, and no announcement has been made yet, but SEC spokesperson Florence Harmon confirmed that an adviser/investment company CCOutreach program is expected to occur on January 31.

The last regional CCOutreach program exclusively focused on advisers and investment companies was held way back in 2009. On January 26, 2010, the SEC held a joint national program that addressed issues related to advisers, investment companies and broker-dealers.

No regional seminars followed in 2010, however, which had been a typical practice in the past. No CCOutreach seminar of any type has been held in 2011.

The seminars are offered on a first come, first served basis to CCOs of SEC-registered advisers, mutual funds, and broker-dealers, depending on the seminarís focus. The seminars are understandably popular, and the limited slots fill quickly once registration opens on the SECís website. A number of webcast slots are also available, and the archived webcast is typically available on the SECís website after the seminar is concluded.