National Regulatory Services

Broker-Dealer Hedge Fund Investment Adviser Certification

Seminar Schedule

All NRS Desktop Seminars are two-hour sessions held on Thursdays from 1:00-3:00 PM ET.

(Exceptions are noted in italics below - click on the seminar title to see date and time details.)

Continuing Education Credit for Desktop Seminars:
NRS conferences and seminars are designed to meet criteria for continuing education credits for CPA/accountants, financial planners, compliance professionals, 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. CLE credits for most other states are available by advance request and may vary according to your state's regulations.

By attending NRS Desktop Seminars, you're eligible for the following Continuing Education credits:

2 IACCP^SM credits
2 CPE credits
2 CLE credits in California (Accredited Provider #2569)

(Desktop Seminars that are not CE eligible are marked with an asterisk below.)

Date	Desktop Seminar Title
Jan. 29, 2009	Compliance Network: CCOs and NRS Consultants discuss and review current compliance and regulatory developments and offer practical problem solving for compliance hot spots *FREE Session - click here to register
Feb. 12, 2009	A Primer on the Investment Advisers Act of 1940
Feb. 19, 2009	Investment Adviser Adviser Advertising Dos and Don'ts
Mar. 5, 2009	Facing New Challenges in Valuation and Portfolio Compliance
Mar. 19, 2009	Building and Managing a Compliance Program for the Small Adviser
Mar. 26, 2009	CCO Strategies and Insights on the Annual Review and Risk Assessment Process
Apr. 9, 2009	How to Write Plain English Form ADV Disclosure and Effectively Manage Conflicts of Interest
Apr. 16, 2009	Special Concerns of the Dual Registrant (SEC and FINRA) Registered Firm
Apr. 27, 2009	Anatomy of a Trading Desk - LIVE simulcast from the Spring Conference
Apr. 27, 2009	SEC Inspection Priorities for Investment Advisers And Mutual Funds in the Wake of the Market Crisis - LIVE sumulcast from the Spring Conference
Apr. 28, 2009	Professional Ethics For Compliance Professionals - LIVE simulcast from the Spring Conference †
Apr. 29, 2009	Operational Risk Management - LIVE simulcast from the Spring Conference
May. 7, 2009	Employment Law Primer for CCOs
May. 28, 2009	Contingency Planning for IAs and BDs
Jun. 11, 2009	Developing a Tailored Compliance Testing Program: Focus on Forensic Testing Techniques
Jun. 25, 2009	Building and Managing a Compliance Program for the Small Adviser
Jul. 9, 2009	Operational Risk Management Part 1: Lessons from the Madoff Case and Practical Risk Management Strategies
Jul. 28, 2009	Post-Madoff Focus on Custody and Safekeeping Requirements / Best Practices for Handling Client Class Action Claim Issues
Aug. 6, 2009	Operational Risk Management Part 2: Proactive Problem Management When Bad Things Happen - Effectively Dealing with Breaches, Misconduct and Internal Investigations
Aug. 20, 2009	Staying on Top of SEC Code of Ethics Requirements, Monitoring Personal Securities Trading and Gifts and Entertainment
Sep. 10, 2009	How to Oversee the Trading Desk and Achieve Best Execution Compliance
Sep. 24, 2009	Protecting Client Information: Meeting Requirements under Reg S-P and State Laws
Oct. 8, 2009	Today's Investment Adviser Books and Records Requirements - Including E-mail and How to Avoid Common Exam Problems
Oct. 22, 2009	Developing a Tailored Compliance Testing Program: Focus on Forensic Testing Techniques
Nov. 5, 2009	Survey of SEC 2009 Enforcement Cases - Live from the NRS Fall Conference
Nov. 6, 2009	Professional Ethics For Compliance Professionals - Live from the NRS Fall Conference
Nov. 19, 2009	Washington Update: A Beltway Briefing on the Status of Regulatory Reform on Capitol Hill and New SEC Initiatives *
Dec. 3, 2009	RIA Year-End Compliance Check-Up: Getting a Handle on Your Compliance Calendar
Dec. 17, 2009	AML Risk Assessment for Investment Advisers and Broker-Dealers

† This Desktop Seminar is eligible for 2 IACCP ethics credits

Only $229 per attendee for each seminar. Team Training Discount - additional attendees from the same firm receive a 15% discount.

* The Nov.19 Washington Update Seminar is $99

Firm specific seminars can be arranged. Contact NRS for pricing.

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 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.

Conference Information :

Seminar Schedule

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