X

SEC, MSRB and FINRA Open Registration for Compliance Outreach Program for Municipal Advisors

The SEC, the MSRB and FINRA opened registration for the Compliance Outreach Program for Municipal Advisors to be held from 3:00 p.m. to 4:30 p.m. Eastern time on November 10, 2016 as a live webcast available on the MSRB website. The webinar will highlight the SEC's Office of Compliance Inspections and Examinations ("OCIE") and FINRA staff examination findings regarding municipal advisors' registration processes. The joint effort is designed to help firms understand their regulatory compliance obligations. The event is being offered free of charge and registration is required.

Primary Sources

  1. Click Here to Register for the Compliance Outreach Program for Municipal Advisors
  2. SEC Press Release: SEC, FINRA and MSRB to Hold Compliance Outreach Program for Municipal Advisors
  3. MSRB Press Release: SEC, FINRA and MSRB to Hold Compliance Outreach Program for Municipal Advisors

Tags

Regulated Activities
Registration Process Registration Requirement Supervision / Compliance
Regulated Entities
Muni Advisors
Regulated Products
Municipal Securities
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
SEC FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
MSRB, FINRA