2023 SEC, MSRB, and FINRA Compliance Outreach Program for Municipal Market Participants

The SEC, MSRB, and FINRA have come together to expand their compliance conference program aimed at municipal advisors and dealers. Their joint program, the 2023 Compliance Outreach Program for Municipal Advisors, is a virtual event that will provide municipal market participants with an opportunity to hear from staff of the SEC, MSRB and FINRA about timely regulatory and compliance matters. Topics covered include compliance concerns of small dealer and municipal advisor firms, credit rating agency compliance, unregistered municipal advisory and dealer activity, pricing compliance, and a forward look at regulatory and enforcement priorities. All three agencies have stated enthusiasm for working together on this program and for increasing connectivity between the regulators and the regulated. The program is open to all municipal market participants who are interested in hearing directly from the SEC, MSRB, and FINRA. The event will be hosted by Gergana Sellers (gergana.sellers@finra.org).