Desktop Seminars
Your convenient source for online compliance training
Participate in these NRS real-time seminars from your office or home. All
you need is a browser and a telephone. You will be able to view and print
seminar material as well as hear and interact with the NRS compliance experts
and other attendees.
Check our Desktop schedule regularly: As the regulatory environment
changes, seminar curriculum is updated and new seminars are added to keep you
up-to-date.
|
Date |
Conference/Seminar |
NRS Speakers |
Jan 16, 2007
|
NASD Rules 3012 and 3013: Here Come the Deadlines Again |
Marianne Czernin |
Jan 23, 2007
|
Investment Adviser Semi-Annual
Update* |
Rick Cortese,
John Gebauer,
Mike Suppappola |
Jan 30, 2007
|
An Introduction to the Advisers Act |
Bill Cavell,
Mederic Daigneault |
Feb 8, 2007
|
Effective BD Supervision |
Marianne Czernin |
Feb 20, 2007
|
Rule 206(4)-7: How to Conduct an Annual Compliance Program Review |
Rick Cortese,
Salvatore Papa |
|
Feb 22, 2007 |
NASD Rules 3012 and 3013: Here Come the Deadlines Again |
Marianne Czernin |
Mar 6, 2007
|
Making the Most of Your Form ADV Annual Amendment |
Sandra Stevenson |
|
Mar 8, 2007 |
Section 28(e): Soft Dollar Issues for
Broker/Dealers |
Deb Pransky |
April 5, 2007
|
Compliance Regulations for State Registered Advisers |
Sandra Stevenson |
May 1, 2007
|
Managing Trading and Best Execution Concepts, including Soft Dollars |
Sal Papa,
Mederic Daigneault |
May 22, 2007
|
Broker/Dealer Compliance Program Reviews |
Marianne Czernin |
June 5, 2007
|
Elements of Comprehensive Effective Disaster Recovery Plan |
John Gebauer,
Mederic Daigneault |
July 10, 2007
|
An Effective Code of Ethics: Meeting Your Firm's Needs |
Bill Cavell,
Sandra Stevenson |
August 7, 2007
|
The Fee-Based Brokerage Rule: What are the
Implications of the Merrill Rule Repeal for Investment Advisers,
Broker/Dealers, and Client Accounts? |
Steven Stone,
Georgia Bullitt,
Richard Nummi
|
Aug 28, 2007
|
Today's Books and Records Requirements; Including Email |
Mederic Daigneault,
Rick Cortese |
Sept 25, 2007
|
Identifying, Managing and Disclosing Conflicts of Interest |
Rick Cortese |
Oct 11, 2007
|
Understanding Advertising Do's and Don'ts |
Bill Cavell,
Sal Papa |
Nov 6, 2007
|
Regulatory Inspection Priorities |
Marianne Czernin |
Nov 13, 2007
|
SEC Examinations and the Nexus with the Compliance Programs Rule |
Marilyn Miles,
Sal Papa |
Only $229 per attendee for each seminar
Team Training Discount - additional attendees from the same firm receive a 15%
discount
Firm specific seminars can be arranged, call for pricing
Attend one or all of the seminars and you can:
- Meet your training needs without leaving the office
- Train your staff quickly, efficiently and cost-effectively
- Learn from the NRS experts who have trained over 6,000 advisers in the
past 20 years
- Learn how to minimize your regulatory risk
- Learn practical tips to satisfy regulatory and compliance requirements
- Focus your training on specific topics
- Learn what's important to the regulators today
- Earn continuing education credits
*This is a 3 hour session from 1:00pm to 4:00pm, Price is $300
Check this site often for an updated list of seminars.
|
