SEC, MSRB, & FINRA to Hold Virtual Compliance Outreach Program

The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced that registration is open for a virtual Compliance Outreach Program for municipal market professionals. The free webcast is open to the public and will take place on Thursday, December 7, 2023, from 10:30 a.m. to 4:30 p.m. ET. The program will provide municipal market participants an opportunity to hear from staff of the SEC, MSRB, and FINRA on timely regulatory and compliance matters for municipal advisors and dealers. Panel topics will include a discussion of compliance concerns of small dealer and municipal advisor firms, credit rating agency compliance concerns including rules of the road for municipal market participants, unregistered municipal advisory and dealer activity, pricing compliance, and a forward look at regulatory and enforcement priorities.