The free webcast is intended to:

1. give municipal market participants an opportunity to engage with staff members from all three organizations concerning timely regulatory and compliance matters for municipal advisors
2. encourage dialogue that will bolster compliance efforts and enhance investor protection
3. reduce unnecessary costs and burdens for municipal advisors while also finding effective ways to support compliance

The event will offer municipal advisors a chance to see regulatory obligations from multiple perspectives. During the program, municipal advisors and other municipal market participants from across the country will view a presentation on using the EDGAR system and will hear from SEC, MSRB, and FINRA staff on topics including:

• managing conflicts of interest disclosures
• operational considerations for registered municipal advisors
• municipal advisors’ participation in new issue pricing
• preparing for an examination
• SEC and FINRA examination processes and common observations
• relevant SEC and FINRA enforcement actions
• transparency concerning the examination program
• exam finding and how to best prepare for examinations

The webinar is free and open to the public but registration is required. For more information and program materials, including the agenda, visit sec.gov. The event will be archived on the SEC’s Compliance Outreach Program for Municipal Advisors webpage for later viewing. Questions may be submitted prior to the event via email at 2021maoutreach@sec.gov.

Sources:

SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors (sec.gov)