The SEC, the Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) jointly will host a virtual Compliance Outreach Program especially designed to help municipal market participants better understand their compliance obligations. Staff from each organization will address the current state of the examination, enforcement, and regulatory framework, and will discuss what lies ahead. The outreach event will take place on Thursday, December 7, 2023, from 10:30 a.m. – 4:30 p.m. ET. This webcast is free and open for the public to attend but registration is required. {expires: 2023-12-08} Continue reading "SEC, MSRB, FINRA to Co-Sponsor Compliance..." »

The SEC’s Small Business Capital Formation Advisory Committee will hold an open meeting via webcast on sec.gov to discuss matters concerning rules and regulations affecting small and emerging businesses and their investors under the federal securities laws. The meeting will take place on Wednesday, November 29, 2023, at 10:00 a.m. ET and is free and open for the public to attend. {expires: 2023-11-30} Continue reading "SEC’s Small Business Capital Formation Advisory..." »

The FERC staff will hold its monthly open meeting via webcast on ferc.gov on Thursday, November 16, 2023, at 10:00 a.m. ET. The one-hour meeting is open for the public to attend. {expires: 2023-11-17} Continue reading "FERC to Hold Its Monthly Open Commission Meeting" »