# SEC Sets Nov. 19, 2026 Compliance Seminar for Investment Companies

By Riza Dagoc

Canonical URL: https://www.tokenpost.com/news/regulation/27872
Published: 2026-10-08T09:06:43.000Z
Updated: 2026-10-08T09:06:43.000Z
Section: Regulation

> The virtual National Compliance Outreach Seminar will address practical compliance issues, regulatory updates and effective practices for investment companies and advisers.

The Securities and Exchange Commission will hold a virtual National Compliance Outreach Seminar on Nov. 19, 2026, for investment companies and investment advisers, offering regulatory updates and practical guidance to compliance professionals.

The seminar is intended for chief compliance officers and senior officers at registered firms. Its agenda will focus on compliance issues, effective compliance practices and updates relevant to the investment-management industry.

The event is part of the SEC’s Compliance Outreach Program, which engages industry participants through national seminars, regional events and forums focused on specific regulatory topics.

The SEC’s examination division, Division of Investment Management and Division of Enforcement’s Asset Management Unit will co-sponsor the seminar.

As of Oct. 8, 2026, no specific topics or speakers had been disclosed for the event.