On-demand online learning provides the opportunity for busy compliance professionals to take advantage of valuable and insightful information presented during NRS live online courses at their own convenience.
The courses are accessible for up to 30 days after the date of the purchase. Please note: On-Demand courses are NOT eligible for CE credits.
- Ultimate in Convenience Anytime, anywhere education without travel or time away from the office
- Comprehensive Education sessions taught by industry experts
- Extensive Topics matched to your firm’s needs.
Can’t make an NRS Webinar?
We’ve got you covered.
New Webinars are added to the list as they become available so you’ll always be able to benefit from the latest topics, the most current information and the engaging discussions you’ve come to expect from NRS. Please note: CE is only available for those who participate during the seminar; it is not available for those who choose the recording.
Available online courses
|A Tailored Compliance Testing Program for Investment Advisers||Further details|
|A Workable Compliance Program for Small Advisers||Further details|
|Advertising and Social Media for Investment Advisers and Broker-Dealers||Further details|
|Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements||Further details|
|Books and Records Requirements for Investment Advisers||Further details|
|Business Continuity Planning, Disaster Recovery, Succession Planning and More||Further details|
|Compliance Professional Summit||Further details|
|Compliance Programs Rules and Strategies for Managing Your Annual Review||Further details|
|Critical Skills for High Performance Compliance Professionals||Further details|
|Cybersecurity 2017||Further details|
|Damage Control and Internal Investigations: What to do When Your Firm Breaks the Rules||Further details|
|Data Protection: Privacy, Identity Theft and Cybersecurity||Further details|
|DOL New Fiduciary Rule – Part 2||Further details|
|FINRA Priorities 2017||Further details|
|Form ADV Part 1: Annual Updating Amendment and More||Further details|
|Form ADV Part 2: Identifying and Disclosing Conflicts||Further details|
|Global Investment Performance Standards for Investment Advisers||Further details|
|Introduction to the Advisers Act: Framework, Registration, Exclusions and Exemptions||Further details|
|Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers||Further details|
|Investment Adviser Performance and Advertising||Further details|
|Investment Adviser Regulatory Update||Further details|
|Machine Learning and Artificial Intelligence: Compliance Considerations||Further details|
|Mandates Beyond the Advisers Act: AML, ERISA and ’34 Act Reporting||Further details|
|Meeting New Compliance Requirements for Form ADV Part 1 Amendments Effective October 2017||Further details|
|OBAs, Private Securities Transactions, and Gifts and Entertainment: Managing Conflicts of Interest||Further details|
|Professional Ethics: Ethical Decision-Making for Compliance Professionals||Further details|
|RIA Year-End Compliance Check-up||Further details|
|Robo-Adviser: Are You Ready?||Further details|
|Safely Embracing the Power of Social Media||Further details|
|SEC Examination and Enforcement Update for Investment Advisers||Further details|
|State-Registered Investment Advisers: A Compliance Tutorial for Working with State Regulators||Further details|
|Third-Party Vendor Management for Compliance Professionals||Further details|
|Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage||Further details|
|Trading Practices, Portfolio Compliance and Related Enforcement Cases||Further details|
|Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts||Further details|
|Two Trading Compliance Challenges: Valuation and Trade Errors||Further details|
|Understanding Fiduciary Duties and a Sweep of Anti-Fraud Provisions of the Advisers Act||Further details|
|Women in Securities Compliance||Further details|