NRS 27th Annual Spring Compliance Conference in Williamsburg, VA

Arm Yourself with the Answers You Need to Meet the Demands of the Compliance Revolution.

Best Value Pricing Extended
Use Discount Code BVE when you register and receive $300 off the regular Conference price.

Download the brochure

The NRS 27th Annual Spring Compliance Conference offers you the resources you need to help protect yourself and your firm against compliance risk. Create a high-performing compliance program with best practices from industry experts. Attend workshops that will help you develop the skills to succeed as a compliance professional. Hear from recognized industry experts, including regulators, compliance professionals and members of the securities bar as you become immersed in topics such as the SEC and FINRA examination focus, mitigating the risks of insider trading, the common pitfalls of advertising and marketing programs, how to manage unexpected compliance breeches and more. With early registration pricing, first-class speakers, a content-rich program, the chance to network with colleagues in a relaxed setting and the history and charm of Colonial Williamsburg, this is one conference you simply can’t afford to miss.

Compliance challenges and managing risk are key issues for all divisions within a firm. The following personnel would benefit from attending:
• Senior Management
• Compliance Officers and Staff
• In-House Counsel
• Operations Managers
• Trading Personnel
• Marketing and Research Staff
• Branch Managers
• Internal Audit Staff

Quick Links

Hotel Information  I  Dinner at King's Arm Tavern  I  Colonial Williamsburg Information  I  Ground Transportation

Hotel Information

    The Williamsburg Lodge
    310 South England St.
    Williamsburg, VA 23185
    (757) 253-2277
    1-800-447-8679

Room Rate Information:
Superior                     $179
Deluxe                        $209
Williamsburg Inn         $369

Rates apply three days before and after the conference dates (subject to availability).
Room block cut-off date: Monday, April 16, 2012 – after this date, the group rates will continue to be available subject to room availability.  

Make Your Reservations by Phone:
Please call 800-261-9530 to make reservations. Please use the Booking ID 15595 when calling.

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Dinner at King's Arm Tavern

On Thursday, May 17, 2012,  join fellow conference attendees at King’s Arms Tavern and dine on colonial fare by candlelight while being entertained by strolling balladeers and colonial characters. After the NRS reception, attendees with reservations will marshal behind a Fife and Drum Corp for a parade down Gloucester Street to the restaurant. Seating is at 7:00 PM.  

Dinner reservations are $75 per person. Register now.

Dinner Menu:

Attendees will have their choice of four entree options:

• Beef Tenderloin Medallion and Crab Cake
• Pan Fried Boneless Breast of Chicken put forth on Salty Ham topped with Mrs. Vobe’s Savory Sauce
• Seasonal Fillet of Salmon
• Vegetarian Dish

All dinners will include:

• King’s Arms Garden Green Salat (Salad)
• Cook’s Potatoes
• Fresh Seasonal Vegetables
• Selection of Tavern Breads
• Williamsburg Pecan Pie
• Coffee, Decaffeinated Coffee, Iced Tea

The dinner cost is $75 per person. Make your dinner reservation(s) via the Conference registration form. Dinner reservations must be made by May 8, 2012. Seating is limited and allocated on a first come, first serve basis. Alcoholic beverages are not included in the cost of the dinner but they may be purchased during the dinner.

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Colonial Willamsburg

In historic Colonial Williamsburg, Virginia, you will find scores of original buildings, hundreds of homes, shops, and public buildings which are reconstructed on over 301 acres—most on their original foundations. Rare animal breeds, trades and gardens add layers of authenticity to the re-created town. Enjoy historical Colonial Williamsburg, Virginia.

Learn more about the conference locale.

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Ground Transportation

From Area Airports

1. Newport News/Williamsburg International Airport (PHF)
   -Taxi service: Approximately $40 and twenty minutes from the hotel

2. Norfolk International Airport (ORF)
   -James River Transportation: Reservation required for an immediate departure. Use conference code
    98050 for a price of $94.00 each way. Reservations can be made by phone 757.963.0433 or email 
    Airport1@JamesRiverTrans.com. Their booth is located outside of baggage claim (door 3).
   -Taxi service: Approximately $85 and 45 minutes from the hotel

3. Richmond International Airport (RIC)
    -James River Transportation: Reservation required for an immediate departure. Use conference
     code 20123 for a price of $106.00 each way. Reservations can be made by phone 804.249.1052 or
     email RIC1@JamesRiverTrans.com. The counter is located inside airport at base of escalators.
    -Groome Transportation Shuttle: Shuttle leaves every hour-on-the-hour, call 804-222-7222. The fare
     is $46 one way, $82 round trip – if more than two passengers fare is $29 each way. The
     information booth is at bottom of the baggage claim escalator.
    -Taxi service: Approximately $85 each way and 45 minutes from the hotel

Train

Amtrak serves the Williamsburg Transportation Center with a connecting train from Washington D.C.  The Center is just blocks from the Historic Area and provides car rentals and a cab stand.

Car

Colonial Williamsburg is easily accessible from I-64. Review the Colonial Williamsburg transportation guide.

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Utilizing technology helps you achieve greater compliance efficiency

NRS technology solutions are backed by our experienced team of compliance professionals and designed to help you adopt a culture of compliance in a fast-evolving business environment. NRS offers comprehensive and affordable tools designed to help firms meet their compliance requirements.

At the Technology Showcase, you can speak to NRS product experts about solutions that allow you to proactively manage the increasingly-dynamic regulatory environment. See in-depth product demonstrations or, if you are a current NRS Technology customer, spend time one-on-one gaining  first-hand insight on the functionality of products.

National Regulatory Services (NRS) conferences and seminars are designed to meet criteria for continuing education credits for attorneys, CPA/accountants, compliance professionals, financial planners and other professionals. NRS is listed on the National Association of State Boards of Accountancy (NASBA) Registry as an Approved Provider of CPE credits for accountants, and as a sponsor of CFP continuing education credits with the Certified Financial Planner Board of Standards. The State Bar of California recognizes NRS as an approved provider of CLE credits for attorneys. CLE credits are available for most other states and may vary according to your state’s regulations. For more information on continuing education or the NRS Financial Hardship Policy, call 1-860-435-0200 or e-mail continuinged@nrs-inc.com.

1. Pre-Con: Professional Ethics: Ethical Decision-Making for Compliance Professionals
    CLE = 2, CPE = 2,  CFP = Pending,  IACCP = 2

2. Pre-Con: Mastering Critical Skills for High Performance Compliance Professionals
    CLE = 2,  CPE = 2,  IACCP = 2

3. Pre-Con: AML – FATCA, FCPA and UKBA
    CLE = 2,  CPE = 2,  CFP = Pending,  IACCP = 2

4. Pre-Con: Survival Strategies for a Risk-Based SEC Examination Panel
    CLE = 2,  CPE = 2,  CFP = Pending,  IACCP = 2

5. Pre-Con: Living with the New FINRA Suitability Rule
    CLE = 2,  CPE = 2

6. Main Conference 
    CLE = 10.5,  CPE = 13,  CFP = Pending,  IACCP = 13