Thursday, October 7, 2021
The 2021 Compliance Outreach Program for Municipal Advisors 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. Topics of discussion include managing conflicts of interest disclosures; operational considerations for registered municipal advisors; municipal advisors’ participation in new issue pricing; preparing for an examination; SEC and FINRA examination processes and common observations; and relevant SEC and FINRA enforcement actions. A tutorial on using the EDGAR system will also be presented.
For those who cannot attend the live webcast, the program will be archived on the SEC’s Compliance Outreach Program for Municipal Advisors webpage for later viewing.
View the agenda for the 2021 Compliance Outreach Program for Municipal Advisors.
This event is open to the media. Please contact us with any media inquiries.