SEC, FINRA and MSRB to Hold Compliance Outreach Program for Muni Advisors

The SEC, the MSRB and FINRA announced the opening of registration for the first Compliance Outreach Program for Municipal Advisors, which will take place in Chicago on November 3, 2014.

The municipal advisor program will provide a forum for municipal advisor professionals and regulators to discuss risk management, regulatory issues and compliance practices.

See: SEC Press Release.