💡 What’s Happening
The Securities and Exchange Commission (SEC), the Municipal Securities Rulemaking Board (MSRB), and the Financial Industry Regulatory Authority (FINRA) are joining forces to host the 2025 Joint Compliance Outreach Program. This two-day virtual event on November 18-19 will dive into the nitty-gritty of compliance and regulatory matters for municipal market professionals.
🏛️ Why You Should Care
This event is not just another Zoom call. It's a golden opportunity for municipal market professionals to share their perspectives on evolving business, regulatory, and technology issues. Expect practical discussions tailored to address top concerns, such as conflicts of interest, broker-dealer primary offering and pricing practices, and other key municipal market topics.
🎤 Voices from the Top
Dave Sanchez, Director of the SEC’s Office of Municipal Securities, and Ernesto Lanza, MSRB Chief Regulatory and Policy Officer, emphasize the importance of dialogue. > “Interacting with panelists and members of the public on compliance concerns and emerging issues helps regulators create a more efficient regulatory environment,” says Sanchez. > “Insights from this program will inform our retrospective rule review, which is an ongoing assessment of our rules to modernize requirements, reduce undue burdens and facilitate innovation,” adds Lanza.
📣 Get Involved
Municipal market professionals are encouraged to submit questions and topics of interest ahead of the event by emailing sessionquestions@finra.org. Plus, if you miss the live sessions, don’t fret—a recording will be archived for later viewing on the SEC website.
