The SEC removed certain personally identifiable financial information from its Municipal Advisor Registration Forms, including from the Forms Funding Portal, Form MSD, Form MA, Form MA-I and Instructions for the Form MA Series.
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In a Risk Alert, the SEC Office of Compliance Inspections and Examinations identified frequent compliance deficiencies found during a recent examination of newly registered municipal advisors.
The SEC, the MSRB and FINRA announced that open registration for the Compliance Outreach Program for Municipal Advisors will be held on November 10, 2016. Registration will be streamed via a live webcast available on the MSRB website.