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.
• 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