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2019 Compliance Outreach Program for Municipal Advisors
February 7, 2019 @ 8:00 am - 5:00 pm
The Compliance Outreach Program for Municipal Advisors is a free one-day program designed to provide an open forum for municipal advisory industry professionals to discuss current compliance practices with regulators and promote a more effective compliance structure for regulatory obligations of municipal advisors. The program is sponsored by the SEC’s Office of Compliance Inspections and Examinations (OCIE), in coordination with the SEC’s Office of Municipal Securities, FINRA and the MSRB.
Location
Hyatt Regency San Francisco
5 Embarcadero Center
San Francisco, CA 94111
There is no cost to attend the program. Registration is open to all municipal advisor and securities industry professionals, however, in-person attendance is limited to a first-come, first-served basis. For those who cannot attend in person, you can register using the link above to view the program live via audio webcast on the SEC’s website.
Continuing Education (CE) Credits
In-person attendees may receive CRCP® and CPE continuing education (CE) credits.
Agenda
Download the agenda for the 2019 Compliance Outreach Program for Municipal Advisors.
Additional Information
Please direct questions about registration to (202) 728-6980 or via email. Information about the program is also available on the SEC and MSRB websites.