The Securities and Exchange Commission (SEC), Municipal
Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority
(FINRA) have announced the opening of registration for their Compliance
Outreach Program for municipal market professionals.
The event will take place on Wednesday, November 20, and
Thursday, November 21, 2024. It will be held at the Byron Rogers Federal
Building in Denver, Colorado. Both in-person and virtual attendance options are
available.
Regulatory Insights for Professionals
“We are pleased to continue coordinating with the SEC and
FINRA to continue an open dialogue with municipal advisors and dealers to
address their top concerns and interests,” said MSRB Chief Regulatory and
Policy Officer Ernesto Lanza.
“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.”
The program is open to the public and aims to provide
municipal market participants with information on regulatory and compliance
matters. Attendees will hear from staff of the SEC, MSRB, and FINRA.
“The SEC looks forward to co-hosting this meaningful
Compliance Outreach Program for municipal market participants,” said SEC
Director of the Office of Municipal Securities, Dave Sanchez.
“These panel discussions address important regulatory and
guidance information—much of which includes novel ideas and perspective—that
municipal market participants will find valuable both in their roles and as
industry leaders.”
SEC, MSRB, FINRA to Hold Hybrid Compliance Outreach Program https://t.co/ON0fsGuEIk
— SECLaw.com – Securities Law Home Page (@SECLaw) July 1, 2024
Engaging Municipal Market Discussions
Panel discussions will cover several topics. These include
compliance issues for municipal advisors and broker-dealers, exam and
enforcement priorities, and a regulatory outlook. Other topics include net
capital requirements, federal fiduciary duty, and post-trade monitoring. The
event will also address other current issues in the municipal market.
“The Compliance Outreach Program is a great opportunity to
engage in dialogue that fosters effective regulation , improves compliance, and
strengthens everyone’s understanding of the industry,” said Michael Solomon,
Executive Vice President, Examinations and Membership Application Program at
FINRA.
The Securities and Exchange Commission (SEC), Municipal
Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority
(FINRA) have announced the opening of registration for their Compliance
Outreach Program for municipal market professionals.
The event will take place on Wednesday, November 20, and
Thursday, November 21, 2024. It will be held at the Byron Rogers Federal
Building in Denver, Colorado. Both in-person and virtual attendance options are
available.
Regulatory Insights for Professionals
“We are pleased to continue coordinating with the SEC and
FINRA to continue an open dialogue with municipal advisors and dealers to
address their top concerns and interests,” said MSRB Chief Regulatory and
Policy Officer Ernesto Lanza.
“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.”
The program is open to the public and aims to provide
municipal market participants with information on regulatory and compliance
matters. Attendees will hear from staff of the SEC, MSRB, and FINRA.
“The SEC looks forward to co-hosting this meaningful
Compliance Outreach Program for municipal market participants,” said SEC
Director of the Office of Municipal Securities, Dave Sanchez.
“These panel discussions address important regulatory and
guidance information—much of which includes novel ideas and perspective—that
municipal market participants will find valuable both in their roles and as
industry leaders.”
SEC, MSRB, FINRA to Hold Hybrid Compliance Outreach Program https://t.co/ON0fsGuEIk
— SECLaw.com – Securities Law Home Page (@SECLaw) July 1, 2024
Engaging Municipal Market Discussions
Panel discussions will cover several topics. These include
compliance issues for municipal advisors and broker-dealers, exam and
enforcement priorities, and a regulatory outlook. Other topics include net
capital requirements, federal fiduciary duty, and post-trade monitoring. The
event will also address other current issues in the municipal market.
“The Compliance Outreach Program is a great opportunity to
engage in dialogue that fosters effective regulation , improves compliance, and
strengthens everyone’s understanding of the industry,” said Michael Solomon,
Executive Vice President, Examinations and Membership Application Program at
FINRA.
This post is originally published on FINANCEMAGNATES.
