1d. MA – MSRB & SEC Regulatory Review (OPEN)


MSRB and SEC regulators will help compliance professionals understand and manage the municipal advisor regulatory landscape, with a chance to submit questions. This session is open to regulators and members of the press.
Learning Objectives:
• Hear about recent enforcement actions and how they’re affecting compliance practices
• Receive regulatory input on what examiners expect to see to demonstrate your compliance
• Discuss best practices and challenges regulators see in exams
• Receive helpful guidance to improve compliance and streamline examinations

Sponsored by

Intermediate                        Program Level: Panel Date: November 8, 2021 Time: 10:00 am - 11:15 am Gail Marshall Linde Murphy

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For More Information, Contact Us:

(860) 672-0843 info@nscp.org