2025 Compliance Outreach Program

2024 Compliance Outreach Program | Nov 20 - 21, 2024 | Denver, CO

The 2025 Compliance Outreach Program for Municipal Advisors and Municipal Dealers has been postponed. New dates will be determined soon.

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.

For those unable to attend in-person or via the livestream, a recording of the program will be archived on the SEC's webpage following the event. To submit questions in advance of the event, please email: [email protected].

Date

TBD

Agenda

Agenda will be posted at a later date.

Press

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