The Securities and Exchange Commission (SEC) announced plans to hold a virtual compliance outreach program which will be hosted by the SEC Office of Municipal Securities, Municipal Securities Rulemaking Board (MSRB) and Financial Industry Regulatory Authority (FINRA). The program aims to give municipal market participants the opportunity to learn about regulatory and compliance matters for municipal advisors and dealers.
The webcast is open to the public and will take place on December 7, 2023, from 10AM to 4:30 PM ET. Questions can be submitted in advance.
Read the announcement and register to attend.
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Public Review for Version 31 of DQC Rules
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