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The SEC announced a virtual compliance seminar for investment companies and advisers on November 19, 2026, focusing on compliance practices and regulatory updates.
The Securities and Exchange Commission (SEC) has announced that it will host a virtual National Compliance Outreach Seminar for investment companies and investment advisers on November 19, 2026. According to the SEC’s October 6, 2026 press release, the event is part of its ongoing Compliance Outreach Program.
Evidence and context
This seminar is designed to assist chief compliance officers (CCOs) and senior officers at registered firms in improving their compliance strategies. The program will provide a platform to discuss practical compliance issues, share experiences, and learn about effective practices. The SEC aims to use this forum to enhance communication with registrants and address regulatory expectations directly.
The SEC Compliance Outreach Program, active since at least 2015, serves as a bridge between the regulator and industry stakeholders. It includes national seminars like the upcoming event, as well as regional gatherings and topic-specific forums focused on investment advisers, investment companies, broker-dealers, and other entities impacted by distinct regulations such as Regulation S-P. Earlier in 2026, regional seminars were held in Denver and Salt Lake City for similar audiences, underscoring the program’s wide outreach.
The November seminar will be co-sponsored by the SEC’s examination division, the Division of Investment Management, and the Division of Enforcement’s Asset Management Unit. By engaging directly with compliance professionals, the SEC aims to foster a deeper understanding of compliance requirements and provide actionable guidance tailored to the unique challenges faced by investment companies and advisers.
As of October 8, 2026, no specific topics or speakers for the November event have been disclosed. However, the program historically addresses emerging compliance trends, regulatory updates, and case studies to support proactive adherence to SEC rules.
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