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SEC/MSRB/FINRA MA Compliance Event and Webinar
Wednesday, November 08, 2017, 9:00 AM - 4:00 PM EDT
Category: Events

The MSRB, SEC and FINRA will be hosting a compliance outreach program for MAs. The event will be held in Atlanta and also webcast.  Topics of discussion will focus on the duties and standards of conduct for non-solicitor municipal advisors under MSRB Rule G-42 and the Securities and Exchange Act of 1934, as well as municipal advisor compliance with rules concerning supervision, registration and books and records. View the agenda.

Register for in person attendance HERE

Register for webcast HERE