Washington D.C., Oct. 6, 2026 — The Securities and Exchange Commission’s Compliance Outreach Program announced today that it will host a virtual national seminar tailored specifically for investment companies and investment advisers on November 19, 2026. The upcoming virtual conference is designed with a clear and vital purpose: to help chief compliance officers, senior executives, and key personnel at investment advisory firms and investment companies further strengthen, refine, and enhance their internal compliance programs in order to safeguard the interests of everyday investors.
As the regulatory landscape continues to evolve, the SEC places significant emphasis on proactive compliance measures. This upcoming national seminar serves as a cornerstone of the agency’s ongoing outreach efforts, providing a vital bridge between regulatory bodies and the financial professionals responsible for day-to-day adherence to federal securities laws. By bringing together compliance professionals from across the country in a virtual setting, the Commission aims to foster a deeper understanding of current regulatory expectations, emerging industry trends, and practical strategies for mitigating risks that could potentially harm investors.
The conference will feature a comprehensive agenda that includes a series of specialized panel discussions led by experienced regulatory officials, industry experts, and compliance leaders. These discussions are expected to delve into the most pressing compliance challenges facing the asset management industry today, offering attendees valuable insights into regulatory priorities, common operational pitfalls, and effective compliance frameworks. Participants interested in reviewing the full schedule of events can view the complete agenda on the official SEC website. Furthermore, the agency has provided designated links within the agenda, allowing attendees to submit questions for the panel discussions either in advance of the event or live while the sessions are underway.
One of the key benefits of the upcoming virtual seminar is its accessibility. The Commission has confirmed that advance registration will not be required for participants wishing to attend the live broadcast. Instead, a direct link to the live webcast will be made prominently available on the morning of November 19 directly on the SEC homepage, ensuring that compliance professionals, legal counsel, and firm leadership can easily access the programming without administrative hurdles. This open-access format underscores the Commission’s commitment to broad educational outreach, ensuring that firms of all sizes—from large institutional asset managers to smaller, independent advisory practices—have equal access to critical regulatory guidance.
The national compliance outreach program is a collaborative initiative, jointly sponsored by several key operational divisions and specialized units within the Commission. Specifically, the event is brought to the financial community through the combined efforts of the SEC’s Division of Examinations and the Division of Investment Management, alongside the Asset Management Unit of the Division of Enforcement. This multi-division sponsorship highlights the holistic approach the agency takes toward regulatory oversight, combining examination insights, policy guidance, and enforcement perspectives to deliver a well-rounded educational experience for the industry.
The overarching goal of the outreach program is to promote open, transparent communications and continuous coordination among federal securities regulators and the broader financial industry. By creating a constructive dialogue on mutual fund, investment adviser, and broker-dealer compliance issues, the SEC seeks to encourage a culture of proactive compliance rather than merely reactive adherence to rules. Through these initiatives, regulators and industry practitioners can better anticipate potential vulnerabilities, address compliance deficiencies before they escalate into systemic problems, and ultimately ensure a higher standard of protection for the investing public.
For professionals seeking additional guidance and educational materials ahead of the November seminar, the Commission maintains a wealth of resources. Interested parties are encouraged to visit the dedicated compliance section on the SEC website to explore a wide array of compliance-related resources, past seminar archives, regulatory bulletins, and guidance updates designed to assist investment companies and advisers in maintaining robust compliance infrastructures year-round.
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