The United States regulatory authorities announced a joint virtual compliance outreach programme for municipal market professionals. The initiative is led by the U.S. Securities and Exchange Commission (US SEC), in collaboration with the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB). The two day programme will be held on 21 and 22 January 2026 and was rescheduled from November. Sessions will run from noon to approximately 5.00 p.m. each day. The outreach targets municipal advisors, broker dealers, and related market professionals. It focuses on compliance expectations, supervisory priorities, and enforcement risk in the US municipal securities market.
The themes include disclosure standards, conduct obligations, supervisory controls, and inter agency regulatory coordination. The programme offers direct regulatory insight from US authorities. It is relevant for firms advising on US municipal exposure. Cross border compliance and market misconduct risk are central considerations.
Compliance consultancies and capital markets participants advising on US facing transactions or cross border municipal finance exposure, will find the programme particularly relevant. It provides early visibility into supervisory thinking and enforcement calibration by US regulators, which can inform internal compliance programmes, client advisory strategies and risk assessments for Asia Pacific based institutions with US market touchpoints.
Registration for the programme is now open, and participation may be of strategic value to firms engaged in global regulatory advisory, market misconduct prevention and international securities compliance.
