6a. MA – Regulatory Review


MSRB and SEC regulators will help compliance professionals understand and manage the municipal advisor regulatory landscape, with a chance to submit questions.

Learning Objectives:

  • Hear about recent enforcement actions and how they?re affecting compliance practices
  • Receive regulatory input on what examiners expect to see regarding new rules (e.g. advertising)
  • Discuss helpful hints for firms learned from exams
  • Receive helpful guidance and best practices to improve compliance and streamline examinations

 

Sponsored by:

Intermediate                        Program Level: Date: October 20, 2020 Time: 11:45 am - 1:00 pm Charles Borden Bri Joiner Robert Miller

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For More Information, Contact Us:

(860) 672-0843 info@nscp.org