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Joint Compliance Outreach Program for Municipal Advisors, Dealers, and Other Market Professionals
Compliance
Outreach
Outreach
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Jan 21, 2026
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Remote

Joint Compliance Outreach Program for Municipal Advisors, Dealers, and Other Market Professionals

The SEC, FINRA, and MSRB present a free two-day virtual compliance outreach program for municipal market professionals, covering conflicts of interest, pricing practices, and key regulatory matters for municipal advisors and dealers.

Compliance Outreach on Regulation S-P
Compliance
Outreach
Outreach
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Jan 22, 2026
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Washington D.C.

Compliance Outreach on Regulation S-P

The SEC holds its final Regulation S-P compliance outreach event for small firms approaching the June 3 deadline, featuring staff from three divisions covering compliance obligations, examination processes, and hands-on workshop demonstrations with incident response discussions.