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Compliance Concepts

SEC, FINRA, MSRB to Hold Muni Compliance Outreach Program

September 11, 2017

The SEC, FINRA and the MSRB today announced that they will hold a Compliance Outreach Program for Municipal Advisors at the SEC’s Atlanta Regional Office on 11/8/17. There is no cost to attend the program, and "in-person attendance" is limited to a first-come, first-served basis. For those who cannot attend in person, the program will be webcast live on the SEC’s website. 


The Compliance Outreach Program will provide an open forum for municipal advisory industry professionals to discuss compliance practices with regulators and promote a more effective compliance structure for regulatory obligations of municipal advisors. Topics of discussion include:

  • duties and standards of conduct for non-solicitor municipal advisors under MSRB Rule G-42 and the Securities and Exchange Act of 1934;
  • municipal advisor compliance with supervision, registration, and books and records rules.
  • a roundtable discussion among the regulators and a question and answer session with participants.


For registration information, including the agenda, click on one of these websites: SECFINRA and MSRB.