Compliance Outreach - Municipal Advisors

Through its Compliance Outreach Program, the SEC seeks to improve compliance by maintaining open lines of communication between the agency's staff and municipal market professionals.

The program is designed to provide a forum for municipal advisors and dealers to discuss compliance issues by sharing their views and experiences with regulators. These discussions help improve compliance and foster effective regulation while strengthening everyone’s understanding of the municipal securities industry.

Municipal market professionals can participate in an annual Compliance Outreach Program event hosted by the SEC's Office of Municipal Securities and the Division of Examinations along with the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB).

• Upcoming Joint Compliance Outreach Program for Municipal Advisors, Dealers, and Other Market Professionals (Jan. 21-22, 2026)
• Past Compliance Outreach Events for Municipal Market Professionals