Securities and Exchange Commission

The SEC is hosting compliance outreach seminars for investment advisers and investment companies in the Denver and Salt Lake City areas. These seminars are intended to address the 'nuts and bolts' of compliance-related issues. SEC staff from the Divisions of Examinations, Enforcement, and Investment Management will discuss several topics, including: Investment Adviser Examinations and Hot Topics, Division Updates and Priorities, Private Funds. Additionally, the seminar will feature a panel focused on examinations for new registrants. These seminars enable chief compliance officers (CCOs) and other senior officers from mid-size and smaller advisory firms to get information directly from their local SEC office regarding compliance matters.