2024 Compliance Outreach Program Seminar for Municipal Market Professionals

The SEC, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) held a two-day compliance outreach program for municipal market professionals.

• Agenda
• Press Release
• Speakers
• Opening Remarks – Dave Sanchez, Director of the SEC's Office of Municipal Securities
• Resource List
   
• Panel Session Recordings
  • Nov. 20, 2024 (Part One)
    • Jason Burt, Director of DRO, SEC – 0:00
    • MA Disclosure Obligation – 8:00
    • Off-Channel Communications – 1:07:10
  • Nov. 20, 2024 (Part Two)
    • Ernesto Lanza, Chief Regulatory and Policy Officer, MSRB – 0:00
    • Avoiding Acting as an Unregistered MA – 8:13
    • Duties of Co-Managers -1:09:00
    • Examinations and Enforcement Priorities – 1:57:51
  • Nov. 21, 2024 (All)
    • Tiffany Buxton, Sr Director, Fixed Income Regulation, FINRA – 0:00
    • MA Statutory Fiduciary Duty – 4:55
    • Compliance Pain Points – 59:19
    • Hot Topics – 2:02:58
    • Dave Sanchez, Director of OMS, SEC – 2:58:50