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

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.

The conference will include panel discussions on:

View the full agenda. To submit questions for the panel, either in advance or during the event, use the links provided in the agenda.

Advance registration is not required. A link to the live webcast will be made available the morning of November 19 on SEC.gov.

The SEC's Divisions of Examinations and Investment Management, and the Asset Management Unit of the Division of Enforcement, jointly sponsor the compliance outreach program. The program promotes open communications and coordination among securities regulators and the industry on mutual fund, investment adviser, and broker-dealer compliance issues.