SEC Meetings and Other Events
Joint Compliance Outreach Program for Municipal Advisors, Dealers, and Other Market Professionals
Virtual
Jan 21, 2026
– Jan 22, 2026
The SEC, Financial Industry Regulatory Authority (FINRA), and Municipal Securities Rulemaking Board (MSRB) held a virtual two-day compliance outreach program for municipal market professionals.
Video Recordings
- Panel 1: Welcome and Conflicts of Interest
- Panel 2: Mitigating Technology Risks
- Panel 3: Compliance Concerns
- Panel 4: Broker-Dealer Session
- Panel 5: Municipal Advisor Session
- Panel 6: Pricing
- Panel 7: Exams and Enforcement
- Panel 8: Hot Topics
Last Reviewed or Updated: Feb. 23, 2026