2019 Compliance Outreach Program for Municipal Advisors
Date TBD | San Francisco, CA
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 Compliance Outreach Program for Municipal Advisors is a free one-day program 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. The program is sponsored by the SEC’s Office of Compliance Inspections and Examinations (OCIE), in coordination with the SEC’s Office of Municipal Securities, FINRA and the MSRB.
Hyatt Regency San Francisco
5 Embarcadero Center
San Francisco, CA 94111
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, you can register using the link above to view the program live via audio webcast on the SEC’s website.
Continuing Education (CE) Credits
In-person attendees may receive CRCP® and CPE continuing education (CE) credits.
Download the agenda for the 2019 Compliance Outreach Program for Municipal Advisors.
This event is not open to the media. Please contact us with any media inquiries.