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

Municipal Securities Industry Program

The Securities and Exchange Commission, Financial Industry Regulatory Authority (FINRA), and Municipal Securities Rulemaking Board (MSRB) are holding a virtual two-day compliance outreach program for municipal market professionals. This free, virtual program provides municipal market participants an opportunity to hear from SEC, MSRB, and FINRA staff on timely regulatory and compliance matters for municipal advisors and dealers.

Program Focus

This year's program provides practical and tailored discussions addressing top concerns and interests among municipal securities dealers and municipal advisors. Sessions cover conflicts of interest, broker-dealer primary offering and pricing practices, compliance concerns, and other key municipal market topics relevant to current regulatory and operational challenges facing market participants.

Who Should Attend

This compliance outreach program is designed for municipal market professionals, including municipal securities dealers and municipal advisors seeking guidance on regulatory requirements and compliance best practices. The program provides opportunities to hear directly from regulatory staff on timely matters affecting municipal market operations.

What to Expect

This free, virtual two-day program enables municipal market participants to gain regulatory insights and compliance guidance from SEC, FINRA, and MSRB staff. The sessions address practical compliance issues and regulatory expectations, providing municipal advisors and dealers with clarity on key requirements and emerging topics in municipal securities markets.