SEC, MSRB, FINRA to Hold Virtual Compliance Outreach Program

The Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) have jointly announced the registration opening for an upcoming virtual Compliance Outreach Program intended for professionals in the municipal securities market. This online event is scheduled for December 7, 2023, running from 10:30 a.m. to 4:30 p.m. Eastern Time.
The primary purpose of the event is to offer municipal market participants the opportunity to gain insights from SEC, MSRB, and FINRA staff regarding timely regulatory and compliance issues affecting municipal advisors and dealers. Panel discussions will thereby cover a range of topics, including compliance challenges faced by small dealer and municipal advisor firms, credit rating agency compliance, unregistered municipal advisory and dealer activities, pricing compliance, and a forward-looking perspective on regulatory and enforcement priorities.
Registration for the event is managed by FINRA and is free for all interested parties. The event will be recorded and available for later viewing on the SEC’s Office of Municipal Securities‘ webpage. Questions can be submitted in advance via email at gergana.sellers@finra.org.
To register, please follow this link.