2016 Compliance Outreach Program for Municipal Advisors

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, in coordination with the SEC's Office of Municipal Securities, is partnering with FINRA and the MSRB to sponsor the program.

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.

Location Date/Time Agenda
Federal Reserve Bank of Philadelphia
10 Independence Mall
Philadelphia, PA 19106
(215) 574-6000
February 3, 2016
9:00 am - 4:15 pm
2016 Program

Additional Materials

There is no cost to attend the program. Registration is open to all municipal advisor professionals with limited in-person seating available (preference given to employees of registered municipal advisors on a first-come, first-served basis) and unlimited webcast viewing.

Information regarding accessing the webcast will be posted on the SEC website on the day of the program. For additional information visit the FINRA or the MSRB website.

As part of the Compliance Outreach Program for Municipal Advisors, an email address, MAOutreach@sec.gov, has been created to answer any questions you may have regarding the program.

2014 Program


Archive: Feb. 3, 2016