FYI: The 2019 Compliance Outreach Program for municipal advisors has been scheduled for February 7, 2019, in San Francisco, jointly sponsored by the SEC, FINRA and MSRB. The agenda will include:
–Rule G-42 fiduciary duty;
–New MSRB rules, including those on advertising and professional qualifications;
–Considerations for underwriters and advisors, including roles, registration and supervisory obligations;
–Examination and enforcement.
While the program is designed for municipal advisors, many of these topics are likely to be of interest to all advisers, and certain brokers as well, covering such issues as standards of conduct, conflicts of interest and advertising.
The program will also be available via live audio webcast on the SEC’s website.
Announcement and registration link: https://www.sec.gov/info/complianceoutreach-ma.shtml.
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