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2019 Compliance Outreach Program for Municipal Advisors

May 12, 2017

Due to the partial federal government shutdown, the 2019 Compliance Outreach Program for Municipal Advisors, scheduled for Thursday, February 7, 2019, has been postponed. The SEC—which co-sponsors the event along with FINRA and the MSRB—is presently closed, and we are unable to move forward with this event at this time. When the SEC re-opens, we will schedule a new date for the event and update the website with this information as soon as it is available. Please check this page frequently for updates.

The 2019 Compliance Outreach Program for Municipal Advisors is designed for municipal advisor industry professionals. The focus of the program is to promote strong compliance with the regulatory obligations of municipal advisors. 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 include the duties and standards of conduct for solicitor and non-solicitor municipal advisors under MSRB Rule G-42 and the Securities Exchange Act of 1934, as well as municipal advisor compliance with new MSRB rules. The program will include a discussion of municipal advisor and underwriter roles in a public offering of municipal securities and in the investment of bond proceeds, and SEC and FINRA staff will also review examination processes, common exam observations, and relevant enforcement actions.

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
Hyatt Regency
5 Embarcadero Center
San Francisco, CA
TBD Agenda

There is no cost to attend the program. Registration is open to all municipal advisor and securities industry professionals, however, in-person attendance is limited to a first-come, first-served basis. For those who cannot attend in person, the program will be available live via audio webcast on the SEC’s website.

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

2017 Programs

SEC Atlanta Regional Office
November 8, 2017

2016 Programs

Federal Reserve Bank of Philadelphia
February 3, 2016

2014 Program

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