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 will 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 unable to attend in-person or via the livestream, a recording of the program will be archived on the SEC's webpage following the event. To submit questions in advance of the event, please email: [email protected].

Registration

There is no cost to attend this event.

Agenda

Agenda will be posted at a later date.

Location

Denver, CO

Press

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