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.
- 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