2024 Compliance Outreach Program Agenda
Agenda is subject to change. All times are in Mountain time.
Wednesday, November 20
9:00 a.m. – 9:40 a.m.
Check-in and Breakfast
9:40 a.m. – 9:50 a.m.
Remarks
9:50 a.m. – 10:50 a.m.
Municipal Advisor Disclosure Obligations
10:50 a.m. – 11:00 a.m.
Break
11:00 a.m. – 12:00 p.m.
Off-Channel Communications
12:00 p.m. – 1:15 p.m.
Lunch (On Your Own)
1:15 p.m. – 1:25 p.m.
Remarks
1:25 p.m. – 2:25 p.m.
Avoiding Acting as an Unregistered Municipal Advisor
2:25 p.m. – 2:35 p.m.
Break
2:35 p.m. – 3:35 p.m.
Duties of Co-Managers
3:35 p.m. – 3:45 p.m.
Break
3:45 p.m. – 5:00 p.m.
Regulatory Outlook: Examinations and Enforcement Priorities
Thursday, November 21
8:00 a.m. – 8:20 a.m.
Breakfast
8:20 a.m. – 8:30 a.m.
Remarks
8:30 a.m. – 9:30 a.m.
Municipal Advisor Statutory Fiduciary Duty
9:30 a.m. – 9:40 a.m.
Break
9:40 a.m. – 10:40 a.m.
Compliance Pain Points
10:40 a.m. – 10:50 a.m.
Break
10:50 a.m. – 11:50 a.m.
Hot Topics in the Municipal Market
11:50 a.m. – 12:05 p.m.
Remarks