When is the SEC virtual national compliance seminar for investment advisers and investment companies?
The SEC has set a date for its virtual national compliance seminar for investment advisers and investment companies.
The seminar date
The seminar is scheduled for November 19, 2026.
The event is part of the SEC’s Compliance Outreach Program and will be held virtually.
Who the timing matters for
The seminar is aimed at chief compliance officers and senior staff at investment advisers and investment companies.
Its stated purpose is to help those personnel strengthen compliance programs for investor protection.
How to access it
Advance registration is not required. The SEC says the webcast link will appear on SEC.gov the morning of the event.
Because event details can change, check SEC.gov on the event date for the current webcast access information.
Who is the SEC compliance outreach seminar intended for?
The SEC’s compliance outreach seminar is directed at compliance personnel in the investment industry.
The intended audience
The seminar is aimed at:
- Chief compliance officers
- Senior staff at investment advisers
- Senior staff at investment companies
The available context does not say it is limited only to those roles, but those are the groups the SEC identifies as the intended audience.
Why the SEC is holding it
The stated purpose is to help those personnel strengthen compliance programs for investor protection.
The seminar is part of the SEC’s Compliance Outreach Program.
Access details
The event is virtual, and advance registration is not required. The SEC says the webcast link will be posted on SEC.gov the morning of November 19, 2026.
For the latest access details, check the SEC’s event information on the day of the seminar.
Do participants need to register in advance for the SEC compliance seminar webcast?
Participants do not need to sign up ahead of time for the SEC compliance seminar webcast.
Registration requirement
Advance registration is not required.
The SEC says the webcast link will appear on SEC.gov the morning of the event.
How to watch
The practical step is simple: go to SEC.gov on November 19, 2026, and look for the webcast link once it has been posted.
The available context does not provide a separate registration page, access code, or email signup process.
What to confirm that morning
Since webcast links and event pages can be updated, use the SEC’s own site on the morning of the seminar for the current link and access instructions.
What topics will the SEC compliance outreach seminar panels cover?
The SEC has outlined several panel topics for its virtual national compliance outreach seminar.
Planned panel topics
The planned panels cover:
- Operational resilience
- Information security
- Adviser issues
- Private fund adviser matters
- Investment company topics
- Compliance program effectiveness
- Current issues
Why these topics are being covered
The seminar’s stated purpose is to help chief compliance officers and senior staff strengthen compliance programs for investor protection.
The available context does not provide a speaker list, panel schedule, or session-by-session agenda.
Where to check for updates
The SEC says the webcast link will appear on SEC.gov the morning of November 19, 2026. That is also the best place to check for any updated agenda details close to the event.
Sources / Learn more
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