WASHINGTON— The Securities and Exchange Commission (SEC), the Municipal Securities Rulemaking Board (MSRB) and FINRA today announced that registration is now open for the 2025 Joint Compliance Outreach Program, a two-day event to discuss compliance and regulatory matters directly with municipal market professionals. The program will be held virtually via Zoom on November 18 and 19.
The event gives market professionals the opportunity to share perspectives on how firms are evolving and responding to business, regulatory, and technology matters. 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.
“The Compliance Outreach Program is dedicated to discussing regulatory challenges in the municipal securities market,” said Dave Sanchez, Director of the SEC’s Office of Municipal Securities. “Interacting with panelists and members of the public on compliance concerns and emerging issues helps regulators create a more efficient regulatory environment for the municipal securities industry.”
“We look forward to hearing from dealers and municipal advisors about opportunities and challenges in meeting their regulatory obligations in the evolving municipal securities market,” said MSRB Chief Regulatory and Policy Officer Ernesto Lanza. “Insights from this program will inform our retrospective rule review, which is an ongoing assessment of our rules to modernize requirements, reduce undue burdens and facilitate innovation.”
“The Compliance Outreach Program fosters essential dialogue between regulators and municipal securities firms,” said Michael Solomon, Executive Vice President of Examinations and Membership Application Program at FINRA. “We are pleased to partner with the SEC and MSRB to offer meaningful conversations where municipal market professionals not only hear from their regulators but also work with them to advance this crucial market.”
Municipal market professionals can submit questions and topics of interest in advance of the event by emailing [email protected]. A recording of the event will be archived for later viewing on the SEC website.
About FINRA
FINRA is a not-for-profit organization dedicated to investor protection and market integrity. FINRA regulates one critical part of the securities industry—member brokerage firms doing business in the U.S. FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-dealer personnel and offers them education and training, and informs the investing public. In addition, FINRA provides surveillance and other regulatory services for equities and options markets, as well as trade reporting and other industry utilities. FINRA also administers a dispute resolution forum for investors and brokerage firms and their registered employees. For more information, visit www.finra.org.