2017 Compliance Outreach Program for Municipal Advisors
May 12, 2017
The 2017 Compliance Outreach Program for Municipal Advisors is designed for municipal advisor industry professionals. The focus of the program is to promote strong compliance practices for the protection of investors. The SEC's Office of Compliance Inspections and Examinations (OCIE) and Office of Municipal Securities are partnering with FINRA and the MSRB to sponsor the program. Topics of discussion will focus on the duties and standards of conduct for non-solicitor municipal advisors under MSRB Rule G-42 and the Securities and Exchange Act of 1934, as well as municipal advisor compliance with rules concerning supervision, registration, and books and records. The program will also include a roundtable discussion among the regulators highlighting timely compliance and regulatory topics with respect to municipal advisors, while addressing audience questions.
Similar to the compliance outreach programs for broker-dealers and investment advisers, the municipal advisor program is designed to provide an open forum for municipal advisory industry professionals to discuss current compliance practices with regulators and promote a more effective compliance structure for regulatory obligations of municipal advisors.
|SEC Atlanta Regional Office
Registration link available soon
|November 8, 2017
9:00 am – 3:45 pm EST
There is no cost to attend the program. Registration is open to all municipal advisor professionals, however, in-person attendance is limited to a first-come, first-served basis. There will be a maximum of two attendees per firm. For those who cannot attend in-person, the program will be webcast live on the SEC’s website and available on the SEC website.
- Speaker Biographies
- Resource List
Federal Reserve Bank of Philadelphia
February 3, 2016