2024 Compliance Outreach Program

The 2024 Compliance Outreach Program for Municipal Advisors and Municipal Dealers is a free live-streamed and in-person program designed to provide municipal market participants an opportunity to hear from SEC, MSRB and FINRA staff on timely regulatory and compliance matters for municipal advisors and dealers. Panel topics include compliance pain points for municipal advisors and broker-dealers, exam and enforcement priorities, a regulatory outlook, net capital requirements, federal fiduciary duty, post-trade monitoring and other municipal market hot topics.

For those who were not able to attend the live program, the recordings will be archived on the SEC Compliance Outreach Program for Municipal Advisors and Municipal Dealers webpage for later viewing.

Date

November 20-21, 2024

Agenda

View the agenda for the 2024 Compliance Outreach Program.

Location

Denver, CO

Press

This event is open to the media. Please contact us with any media inquiries.