82 FR 34560 - Sunshine Act Meeting

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 82, Issue 141 (July 25, 2017)

[Federal Register Volume 82, Number 141 (Tuesday, July 25, 2017)]
[Notices]
[Page 34560]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-15627]



[[Page 34560]]

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SECURITIES AND EXCHANGE COMMISSION


Sunshine Act Meeting

    Notice is hereby given, pursuant to the provisions of the 
Government in the Sunshine Act, Public Law 94-409, that the Securities 
and Exchange Commission's Office of Compliance Inspections and 
Examinations (``OCIE'') will host a public conference, characterized as 
a ``Compliance Outreach Program for Broker-Dealers,'' on Thursday, July 
27, 2017, in the Auditorium, Room L-002 at the Commission's 
headquarters, 100 F Street NE., Washington, DC 20549. The conference 
will begin at 10:30 a.m. (ET). Seating will be on a first-come, first-
served basis. Doors will open at 9:00 a.m. Visitors will be subject to 
security checks. The conference will be webcast on the Commission's Web 
site at www.sec.gov.
    On May 3, 2017, the Commission issued notice of the conference 
indicating that the conference is open to the public. This Sunshine Act 
notice is being issued because a quorum of the Commission may attend.
    The agenda for the conference includes: Opening remarks by Chairman 
Jay Clayton; a panel discussion with insights from Michael Piwowar, 
Commissioner, Securities and Exchange Commission, Robert Cook, 
President and CEO of FINRA (Financial Industry Regulatory Authority), 
and moderated by Peter Driscoll, Acting Director, OCIE; a panel 
discussion addressing certain broker-dealer hot topics, including anti-
money laundering, conflicts of interest, recidivist and high risk 
brokers and dual registrants.
    Other panels include a discussion of issues relating to senior 
investors and those investing for retirement and a discussion 
addressing current cybersecurity threats impacting broker-dealers and 
the securities markets, including mitigation approaches.
    For further information, please contact Brent J. Fields from the 
Office of the Secretary at (202) 551-5400.

    Dated: July 20, 2017.
Brent J. Fields,
Secretary.
[FR Doc. 2017-15627 Filed 7-21-17; 11:15 am]
 BILLING CODE 8011-01-P