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2019 Compliance Outreach Program for Municipal Advisors

May 12, 2017

The 2019 Compliance Outreach Program for Municipal Advisors has been rescheduled for Tuesday, May 21, 2019. Please see below for details about how to register. If you registered for the originally scheduled program, you do not need to register again.

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
Tuesday, May 21, 2019
8:00AM – 3:15PM PST

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 video webcast on the SEC’s website.

Register Here

Information on accessing the video 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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