Compliance Outreach Program for Municipal Advisors

2024 Program

Hybrid
November 20-21, 2024

• Remarks – 2024 Joint Compliance Outreach Program for Municipal Market Participants
• Event Information
• Press Release
• Resource List
• Speakers
• Agenda
• Panel Session Recordings
  • Nov. 20, 2024 (Part One)
    • Jason Burt, Director of DRO, SEC – 0:00
    • MA Disclosure Obligation – 8:00
    • Off-Channel Communications – 1:07:10
  • Nov. 20, 2024 (Part Two)
    • Ernesto Lanza, Chief Regulatory and Policy Officer, MSRB – 0:00
    • Avoiding Acting as an Unregistered MA – 8:13
    • Duties of Co-Managers -1:09:00
    • Examinations and Enforcement Priorities – 1:57:51
  • Nov. 21, 2024 (All)
    • Tiffany Buxton, Sr Director, Fixed Income Regulation, FINRA – 0:00
    • MA Statutory Fiduciary Duty – 4:55
    • Compliance Pain Points – 59:19
    • Hot Topics – 2:02:58
    • Dave Sanchez, Director of OMS, SEC – 2:58:50

2023 Program

Virtual
December 7, 2023

• Written Closing Remarks by Dave A. Sanchez, Director, Office of Municipal Securities
• Agenda
• Panel Session Video Recordings
  • Opening Remarks and Credit Ratings
  • Pricing Issues (New and Remarketing)
  • Compliance Concerns of Small MAs
  • Compliance Concerns of Small Municipal BDs
  • Unregistered MA/BD Activity by Registered MA/BDs
  • Regulatory Outlook, Exam Enforcement Priorities, and Closing Remarks
     

2021 Program

Virtual
October 7, 2021

• Agenda
• Press Release
• Speaker Biographies
• Resource List
• Webcast

2020 Program

Virtual
August 13, 2020

• Agenda
• Press Release
• Webcast

2019 Program

San Francisco, California
May 21, 2019

• Agenda
• Webcast

2017 Program

SEC Atlanta Regional Office
November 8, 2017

• Agenda
• Speaker Biographies
• Resource List
• Webcast

2016 Program

Federal Reserve Bank of Philadelphia
February 3, 2016

• February 2016 Agenda
• Speaker Biographies
• Resource List
• Webcast Part 1, Part 2

2014 Program

• Agenda
• Unofficial Transcript