The SEC, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) jointly will host a compliance outreach program for municipal market advisors and dealers. The workshop is free and open for the public to attend, but registration is required. The two-day remote event will take place on Wednesday, January 21 and Thursday, January 22, from 12 p.m. to 5 p.m. each day. Following the event, a recording of the program also will be archived on the SEC's webpage.
The outreach allows municipal market professionals to hear from SEC, MSRB, and FINRA staff on current compliance and regulatory matters affecting municipal market participants. The 2026 agenda will feature practical and tailored discussions covering top priorities and issues among municipal securities dealers and municipal advisors. These topics include conflicts of interest, broker-dealer primary offering and pricing practices, and compliance concerns.
For more information, including registration instruction, please visit the event’s webpage on finra.org.
Source:
2026 Compliance Outreach Program (finra.org)
