2023 Compliance Outreach Program for Municipal Advisors and Municipal Dealers Webcast

Thursday, December 7, 2023

10:30 a.m. to 4:30 p.m. ET

The 2023 Compliance Outreach Program for Municipal Advisors and Municipal Dealers is a free webcast program designed to provide municipal advisors and other municipal market participants an opportunity to hear from SEC, MSRB and FINRA staff on timely regulatory and compliance matters. Panel topics will include a discussion of compliance concerns of small dealer and municipal advisor firms; credit rating agency compliance concerns; unregistered municipal advisor and dealer activity; new issue pricing; and a forward look at regulatory and enforcement priorities.

For those who cannot attend the live virtual program, the recording will be archived on the SEC's Office of Municipal Securities' webpage for later viewing. To submit questions in advance of the event, please email: [email protected].

Registration

There is no cost to attend this event. 

REGISTER

Agenda

Agenda will be posted at a later date.

Press

This event is open to the media. Please contact us with any media inquiries.

COMPLETE THE FORM BELOW

FINRA members should complete the form below and click "Submit" to proceed.

SIGN-UP

Don't know your firm's CRD#? Look it up in BrokerCheck.