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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.

Location Date/Time Agenda
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.

Register to attend the program here.  Information on accessing the webcast and the links to program materials will be posted on the SEC, MSRB, and the FINRA websites on the day of the program.

Additional Materials

2016 Programs

Federal Reserve Bank of Philadelphia
February 3, 2016

2014 Program

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