SEC to Host Virtual National Compliance Outreach Seminar for Investment Companies and Investment Advisers

The Securities and Exchange Commission (SEC) has announced a virtual national seminar for investment companies and investment advisers on November 19, 2026. The seminar aims to assist chief compliance officers and senior staff at these firms in improving their compliance programs to safeguard investors. The conference will feature panel discussions covering various topics, which can be viewed in full on the SEC's website.

Interested parties can submit questions for the panelists in advance or during the event using the links provided in the agenda. No advance registration is necessary. Participants can access the live webcast on November 19 by visiting SEC.gov. The SEC's Divisions of Examinations and Investment Management, along with the Asset Management Unit of the Division of Enforcement, co-sponsor the compliance outreach program.

This program fosters open communication and coordination among securities regulators and the industry regarding mutual fund, investment adviser, and broker-dealer compliance matters. For more compliance-related resources, visit the SEC's compliance page.