The SEC, FINRA and the MSRB announced that registration for the Compliance Outreach program for Municipal Advisors is now open. Director of the SEC Office of Municipal Securities Jessica Kane said this about the event: "This year's outreach program is designed to promote compliance with municipal advisor rules by providing municipal advisor professionals the opportunity to interact with all three regulators and to discuss regulatory and compliance issues with their industry peers." The program will take place in Philadelphia on February 3, 2016. It also will be streamed live on the SEC Web

The Financial Services Committee Subcommittee on Capital Markets and Government Sponsored Enterprises will hold a hearing titled Legislative Proposals to Improve the U.S. Capital Markets. The hearing will take place at 10:00 a.m. on December 2, 2015. The hearing will focus on the following legislative proposals: H.R. 3784, the SEC Small Business Advocate Act; H.R. 3798, the Due Process Restoration Act; H.R. ____, the Helping Angels Lead Our Startups (HALOS) Act; H.R. ____, the Fostering Innovation Act; and H.R. ____, the Small Business Capital Formation Enhancement Act. The hearing will

SEC Director of the Division of Enforcement Andrew Ceresney testified that the proposed Email Privacy Act ( H.R. 699) poses significant risks to the American public. H.R. 699 amends portions of the Electronic Communications Privacy Act (ECPA). In his testimony before the House Judiciary Committee, Mr. Ceresney argued that H.R. 699 would impede the ability of the SEC and other civil law enforcement agencies to investigate and uncover financial fraud and other unlawful conduct. He claimed that H.R. 699 would require government entities to procure criminal warrants when they sought to view the

SEC Commissioner Luis A. Aguilar provided a set of principles, thoughts, and ideas that he hoped future Commissioners, and their counsels, may find useful. He will be leaving the SEC at the end of December. Commissioner Aguilar commented on: Personal Staff: Choosing the right counsel may be one of the most important decisions [that one can] make as a Commissioner. He urged future Commissioners to consider their counsels to be their alter egos. Internal Procedures: Future Commissioners must familiarize themselves with the Reorganization Plan No. 10 of 1950, which provides that the SEC Chair

The CFTC Office of the Inspector General ("OIG") issued its Semiannual Report to Congress. The report summarizes the activities of the OIG from April 1, 2015 through September 30, 2015, during which time it "completed 2 audits, one management review (audit), one review (non-audit) and 2 management letters (non-audit)."