United States:
SEC, MSRB And FINRA To Offer Compliance Outreach Program
23 September 2021
Cadwalader, Wickersham & Taft LLP
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The SEC, the MSRB and FINRA will be offering a 2021 Compliance
Outreach Program for municipal advisors. The program is scheduled
for October 7, 2021. The program is intended to facilitate a
dialogue between municipal advisers, municipal market participants
and the agencies regarding regulatory issues. The program will
include topics on (i) conflicts of interest disclosures, (ii) new
issue pricing, (iii) examination preparation and (iv) agency
observations and enforcement actions. In addition, there will be a
presentation regarding use of the EDGAR system.
FINRA is administering registration for the program, which is
free and open to the public.
Primary Sources
- SEC Press Release: SEC, MSRB, FINRA to Hold
Compliance Outreach Program for Municipal
Advisors
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
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