On Demand Learning

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.

Participants experience:

  • 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.

Login to NRS On Demand Webinars

  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