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2016 Compliance Outreach Program for Municipal Advisors

May 12, 2017

The 2016 Compliance Outreach Program for Municipal Advisors is designed for municipal advisor 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. The webinar will highlight OCIE and FINRA staff examination findings on municipal advisors' registration and give municipal advisors a detailed explanation of the registration process.

Similar to the compliance outreach programs for broker-dealers and investment advisers, the municipal advisor program will provide municipal advisor professionals a forum for discussions with regulators and their peers about recent exam findings, regulatory concerns and industry compliance practices. Additionally, this will offer municipal advisor professionals the opportunity to ask questions and interact with staff from SEC, FINRA and MSRB offices.

Webinar Date/Time Agenda
Register here November 10, 2016
3:00 pm – 4:30 pm EST
November 2016 Agenda

There is no cost to attend the program. Registration is open to all municipal advisor professionals. Please register for the program here.

To access today's webcast, please visit this link. For additional information visit the SEC, FINRA, or the MSRB website.

Additional Materials

2016 Programs

Federal Reserve Bank of Philadelphia
February 3, 2016

2014 Program