Thursday, August 13, 2020
1 – 3 p.m. Eastern Time
The 2020 Compliance Outreach Program for Municipal Advisors was held on Thursday, August 13, 2020, as a free webcast program designed to provide municipal market participants an opportunity to hear from SEC, MSRB and FINRA staff on timely regulatory and compliance matters for municipal advisors. Topics of discussion included, among other things, the duties and standards of conduct for municipal advisors under MSRB Rules G-42 and G-17 and the federal fiduciary duty under the Securities Exchange Act of 1934; the SEC’s temporary conditional exemption from broker registration for certain direct placement activities; operational considerations for registered municipal advisors; and OCIE and FINRA examination processes and common observations, as well as relevant SEC and FINRA enforcement actions.
View the agenda from the 2020 Compliance Outreach Program for Municipal Advisors Webcast.
Continuing Education (CE) Credits
Attendees may receive CRCP® and Continuing Professional Education (CPE) credits.
This event is not open to the media. Please contact us with any media inquiries.