The trio has launched a program on regulatory and compliance matters for municipal advisors and dealers.
Registration is open for a Compliance Outreach Program for municipal market professionals, sponsored by the Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB), and FINRA, the self-regulatory organization (SRO) for U.S. broker-dealers.
The public affairs forum can be attended in-person or accessed virtually on Wednesday, Nov. 20, and Thursday, Nov. 21, 2024, in Denver, Colorado, officials say. A recording of the program will be archived on the SEC’s website after the event.
FINRA is managing the registration via this link: https://shorturl.at/sFgrX The public can submit questions and suggestions about subject matter before the event via email: gergana.sellers@finra.org.
“The program will 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 key topics,” officials say.
“This year’s program devotes time to both municipal advisors and dealers in the form of breakout sessions that will address unique issues and needs for all types of municipal market professionals, including small firms,” says Ernesto Lanza, chief regulatory and policy officer for MSRB, in a prepared statement.
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