The SEC’s Division of Investment Management Director Dalia Blass said of the upcoming compliance outreach program’s national seminar, “We are hopeful that this continued dialogue with Chief Compliance Officers and their teams would better prepare the compliance community and regulators alike in responding to the numerous challenges that lie ahead, including those related to the COVID-19 pandemic and beyond. We look forward to sharing our thoughts with compliance professionals on a number of pressing issues affecting Main Street investors today.”

Although registration is not required to attend the virtual seminar, there is a possibility that live access demand may exceed capacity. The SEC will make a recording  available on the SEC’s website after the event.  For more information, contact: