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ARTICLE · 23 SEPTEMBER 2021

SEC, MSRB And FINRA To Offer Compliance Outreach Program

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The SEC, the MSRB and FINRA will be offering a 2021 Compliance Outreach Program for municipal advisors.

United StatesFinance and Banking
Hogan Lovells Cadwalader
Hogan Lovells Cadwalader
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The SEC, the MSRB and FINRA will be offering a 2021 Compliance Outreach Program for municipal advisors. The program is scheduled for October 7, 2021. The program is intended to facilitate a dialogue between municipal advisers, municipal market participants and the agencies regarding regulatory issues. The program will include topics on (i) conflicts of interest disclosures, (ii) new issue pricing, (iii) examination preparation and (iv) agency observations and enforcement actions. In addition, there will be a presentation regarding use of the EDGAR system.

FINRA is administering registration for the program, which is free and open to the public.

Primary Sources

  1. SEC Press Release: SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors

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