The SEC, MSRB and FINRA opened registration for the Compliance Outreach Program for Municipal Advisors. The program, which provides a forum for municipal advisory industry professionals to discuss various regulatory and compliance issues with regulators, will be held at the Hyatt Regency in San Francisco, California, on February 7, 2019.
News & Insights
231 News Results
The SEC, the MSRB and FINRA will be offering a 2021 Compliance Outreach Program for municipal advisors. The program is scheduled for October 7, 2021.
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.
Comments on an MSRB proposal to amend rules on advertising by municipal advisors to allow for the use of testimonial statements are due by March 7, 2023.
Comments on an MSRB proposal to establish core standards of conduct and duties for "solicitor municipal advisors" are due by March 7, 2023.