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Compliance Concepts

Municipal Compliance Outreach Program

December 17, 2018

The SEC, MSRB and FINRA will hold a day-long Compliance Outreach Program for Municipal Advisors on February 7, 2019. The event, to be held in San Francisco, is open to all municipal advisor and securities industry professionals. In-person attendance is limited to a first-come, first-served basis. The program will also be available live via audio webcast on the SEC’s website. There is no cost to attend.


The program, which provides an open forum for municipal advisory industry professionals to discuss regulatory and compliance issues with regulators, is a collaboration of the SEC’s Office of Compliance Inspections and Examinations (OCIE), the SEC's Office of Municipal Securities, the MSRB and FINRA.


Topics of discussion include:

  • duties and standards of conduct for solicitor and non-solicitor municipal advisors under MSRB Rule G-42 and the Securities Exchange Act of 1934;
  • municipal advisor compliance with new MSRB rules;
  • municipal advisor and underwriter roles in a public offering of municipal securities and in the investment of bond proceeds;
  • SEC and FINRA examination processes, common exam observations, and relevant enforcement actions.


[For further details and to register for the program, click below link.]