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.
The 2019 Compliance Outreach Program for Municipal Advisors took place on Tuesday, May 21, in San Francisco, CA. Download the agenda for the program.
Continuing Education (CE) Credits
In-person attendees may receive CRCP® and CPE continuing education (CE) credits.
This event is not open to the media. Please contact us with any media inquiries.