The SEC, the Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) jointly will host a virtual Compliance Outreach Program especially designed to help municipal market participants better understand their compliance obligations. Staff from each organization will address the current state of the examination, enforcement, and regulatory framework, and will discuss what lies ahead. The outreach event will take place on Thursday, December 7, 2023, from 10:30 a.m. – 4:30 p.m. ET. This webcast is free and open for the public to attend but registration is required. {expires: 2023-12-08}
During the event, the host organizations will present on topics concerning:
- timely regulatory and compliance matters for municipal advisors and dealers
- compliance concerns of small dealer and municipal advisor firms
- credit rating agency compliance concerns including standards for municipal market participants
- unregistered municipal advisory and dealer activity
- pricing compliance
- future regulatory and enforcement priorities
Interested parties may submit questions prior to the event via email to gergana.sellers@finra.org.
Source:
Compliance Outreach For Municipal Market Professionals (sec.gov)
