Wednesday, November 8, 2017
9:00 a.m. – 4:00 p.m. ET
Join the SEC, MSRB and FINRA for the Compliance Outreach Program for Municipal Advisors. Topics of discussion will focus on the duties and standards of conduct for non-solicitor municipal advisors under MSRB Rule G-42 and the Securities and Exchange Act of 1934, as well as municipal advisor compliance with rules concerning supervision, registration and books and records.