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A compliance outreach program for municipal advisors and municipal sellers – initially set for final November however postponed because of the latest federal authorities shutdown – has been rescheduled for January.
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This system, which shall be hosted collectively by the Securities and Trade Fee, the Municipal Securities Rulemaking Board and the Monetary Business Regulatory Authority, will now be held on Jan. 21 and Jan. 22, 2026, a Dec. 10 electronic mail to registrants stated.
An earlier electronic mail introduced that this system, initially scheduled for Nov. 18 and 19, had been postponed because of the shutdown. On Nov. 12, President Donald Trump signed a invoice into legislation ending the shutdown.
“In staying conscious of the continued uncertainty surrounding the shutdown and its potential impression on our regulatory companions’ participation within the occasion, now we have determined to reschedule the occasion at the moment to make sure a complete and multi-regulatory perspective that makes this program invaluable,” that electronic mail, despatched Oct. 27, stated.
The MSRB and FINRA, self-regulatory organizations that do not depend on taxpayer {dollars} for his or her funding, remained absolutely operational through the shutdown. Nonetheless, the SEC, a federal company, operated in accordance with the company’s plan, which referred to as for “solely a particularly restricted quantity” of SEC employees members to be accessible so as to reply to emergencies.
The January occasion is a free, digital program that may supply municipal market members a possibility to listen to from SEC, MSRB and FINRA employees relating to “well timed regulatory and compliance issues for municipal advisors and sellers,” in accordance with info accessible on FINRA’s web site.
The upcoming program will present “sensible and tailor-made discussions addressing prime considerations and pursuits amongst municipal securities sellers and municipal advisors, together with conflicts of curiosity, broker-dealer major providing and pricing practices, compliance considerations, and different key municipal market matters,” the web site stated.
The agenda for the compliance outreach program shall be posted at a later date, FINRA’s web site stated.
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