2026 Compliance Outreach Program Agenda
This is a free, virtual 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 and dealers. This year’s program provides practical and tailored discussions addressing top concerns and interests among municipal securities dealers and municipal advisors, including conflicts of interest, broker-dealer primary offering and pricing practices, compliance concerns, and other key municipal market topics.
All times listed are Eastern Time.
Day One
12:00 p.m. – 12:05 p.m.
Introduction
12:05 p.m. – 12:10 p.m.
Opening Remarks – SEC Chairman Paul Atkins
12:10 p.m. – 12:15 p.m.
Opening Remarks – FINRA President and CEO Robert Cook
12:15 p.m. – 1:15 p.m.
Conflicts of Interest
1:15 p.m. – 1:30 p.m.
Break
1:30 p.m. – 2:30 p.m.
Technology
2:30 p.m. – 2:45 p.m.
Break
2:45 p.m. – 3:45 p.m.
Compliance Concerns
3:45 p.m. – 4:00 p.m.
Break
4:00 p.m. – 5:00 p.m.
Broker-Dealer Session
Day Two
12:00 p.m. – 12:05 p.m.
Introduction
12:05 p.m. – 12:10 p.m.
Opening Remarks – SEC Commissioner Hester Peirce
12:10 p.m. – 12:15 p.m.
Opening Remarks – MSRB CEO Mark Kim
12:15 p.m. – 1:15 p.m.
Municipal Advisors Session
1:15 p.m. – 1:30 p.m.
Break
1:30 p.m. – 2:30 p.m.
Pricing
2:30 p.m. – 2:45 p.m.
Break
2:45 p.m. – 3:45 p.m.
Exams and Enforcement
3:45 p.m. – 4:00 p.m.
Break
4:00 p.m. – 5:00 p.m.
Hot Topics in Municipal Market
5:00 p.m. – 5:10 p.m.
Closing Remarks