The SEC will host a virtual seminar for investment companies and advisers on November 19, 2026, to enhance compliance programs and address current issues.
Why it matters. Investment companies and advisers will receive guidance on compliance, potentially improving investor protection.
The Securities and Exchange Commission’s Compliance Outreach Program announced today that it will host a virtual national seminar for investment companies and investment advisers on November 19, 2026. The purpose of the event is to help chief compliance officers and senior personnel at investment advisory firms and investment companies enhance their compliance programs to protect investors.
Advance registration is not required. A link to the live webcast will be made available the morning of November 19 on SEC.gov .
The program promotes open communications and coordination among securities regulators and the industry on mutual fund, investment adviser, and broker-dealer compliance issues.
The Securities and Exchange Commission’s Compliance Outreach Program announced today that it will host a virtual national seminar for investment companies and investment advisers on November 19, 2026.
