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Agencies Open Registration for Compliance Outreach Program for Municipal Advisors

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.

Primary Sources

  1. SEC Press Release: SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors
  2. SEC, MSRB, FINRA: Compliance Outreach Program for Municipal Advisors

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Tags

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