NRS' conferences and seminars are designed to meet criteria for continuing education credits for financial planners, attorneys 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. While approval criteria for CLE credits vary among domestic and international jurisdictions that require their attorneys to obtain CLE credits, some jurisdictions recognize NRS’ approved provider status in the State of California and may accept credits based on the particular jurisdiction’s requirements. A list of these jurisdictions is available upon request.

NRS CE Guide

NRS is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Ave. North, Suite 700, Nashville, TN 37219-2417, www.nasba.org.

Continuing Professional Education (CPE) for Accountants/CPAs

Understanding Disclosure: Form ADV, Performance and Advertising
This live event is approved for:
7.5 CPE credit hours
7.0 MCLE credits by the State Bar of California

Ethics: Understanding the Requirements; Fostering a Culture while Leveraging Leadership, Communication and Technology for Effective Compliance
This live event is approved for:
7.5 CPE credit hours
7.0 MCLE credits by the State Bar of California

Trading: Best Practices and Lessons Learned
This online event is approved for:
6.5 CPE credit hours
5.5 MCLE credits by the State Bar of California

Compliance Mandates Beyond the Advisers Act
This online event is approved for:
6.5 CPE credit hours
5.5 MCLE credits by the State Bar of California

Mastering the Investment Advisers Act of 1940: Sections 201-205
This live event is approved for:
7.5 CPE credit hours
7.0 MCLE credits by the State Bar of California

Mastering the Investment Advisers Act of 1940: Sections 206-222
This  live event is approved for:
7.5 CPE credit hours
7.0 MCLE credits by the State Bar of California

Semi-Annual Investment Adviser Update
This online online event is approved for:
2 CPE credit hours
2 MCLE credits by the State Bar of California
2 IACCP General Credits

IACCP Continuing Education - Ethics for Investment Advisers
This online or live event is approved for:
2 CPE credit hours
2 MCLE credits by the State Bar of California
2 IACCP Ethics Credits

Securities Regulation
This online event is approved for:
3.5 CPE credit hours
3 MCLE credits by the State Bar of California

Thinking Like an SEC Examiner
This online event is approved for:
3.5 CPE credit hours
3 MCLE credits by the State Bar of California

Scope/Purpose/Prerequisites

This basic-to-intermediate course of study, comparable to an upper-division baccalaureate level, examines regulatory developments and requirements for investment advisory compliance professionals with the goal of enhancing their professional competence.  Live training in face-to-face classroom and instructor-led online settings is presented in an informal style that encourages discussion and questions.  A combination of instructional delivery methods - lecture, case studies, small group discussion and other interactive elements - provides an engaging learning experience.  Legal and industry experts explain new regulations issued by federal and state authorities, and policies and procedures for maintaining effective compliance.  Ample time is allowed for students' questions.  Print and electronic materials are provided to support oral presentations.  Students should have a basic understanding of definitions and concepts arising under the Investment Advisers Act of 1940.