CE Info
NRS conferences are designed to meet criteria for continuing education credits for accountants, financial planners and attorneys. 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 the other 39 states that require their attorneys to obtain CLE credits, some of these states recognize NRS approved provider status in the State of California and may accept credits based on the particular states requirements.
CPE credit hours for conference: 8
NRS CE Guide
National Regulatory Services 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. Complaints regarding sponsors may be addressed to NASBA, 150 Fourth Ave. North, Suite 700, Nashville, TN 37219-2417.
Scope/Purpose/Prerequisite: This intermediate-to-advanced course of study examines regulatory developments and requirements for investment adviser and broker-dealer legal/compliance professionals with the goal of enhancing their professional competency. Legal, regulatory and industry experts will explain new regulations issued by Federal, State and SRO regulatory agencies, and policies and procedures for maintaining effective compliance. Ample time will be allowed for delegates' questions. Conference material will be provided to support oral presentations. Delegates should have a basic understanding of definitions and concepts that arise under Investment Advisers Act of 1940 and The Securities Exchange Act of 1934.
NRS conferences are designed to meet criteria for continuing education credits for accountants, financial planners and attorneys. 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 the other 39 states that require their attorneys to obtain CLE credits, some of these states recognize NRS approved provider status in the State of California and may accept credits based on the particular states requirements.
CPE credit hours for conference: 8
NRS CE Guide
National Regulatory Services 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. Complaints regarding sponsors may be addressed to NASBA, 150 Fourth Ave. North, Suite 700, Nashville, TN 37219-2417.Scope/Purpose/Prerequisite: This intermediate-to-advanced course of study examines regulatory developments and requirements for investment adviser and broker-dealer legal/compliance professionals with the goal of enhancing their professional competency. Legal, regulatory and industry experts will explain new regulations issued by Federal, State and SRO regulatory agencies, and policies and procedures for maintaining effective compliance. Ample time will be allowed for delegates' questions. Conference material will be provided to support oral presentations. Delegates should have a basic understanding of definitions and concepts that arise under Investment Advisers Act of 1940 and The Securities Exchange Act of 1934.
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