Regulators to Hold Outreach Event for Municipal Market Professionals

The Securities and Exchange Commission, the Municipal Securities Rulemaking Board (MSRB) and the Financial Industry Regulatory Authority (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.