NRS Fall 2020 Compliance Conference
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Join NRS at our Fall 2020 Compliance Conference where industry experts will address how investment adviser and broker-dealer firms can successfully navigate the disruptive currents of regulatory change and adapt procedures to compliance programs.
attendee comments
Recent Trends in Investment Adviser Enforcement Proceedings
Session was bright and knowledgeable, with poised, vibrant and excellent speakers. The group’s discussion went very well. – NRS Spring 2019 Conference Attendee
SEC Examinations for IA’s
This session contained incredibly useful information, good experiences, great energy and helpful everyday guidance! – NRS Spring 2019 Conference Attendee
How Do I know I’ve Done Enough
This session brings with it a practical approach to compliance with new and accurate material, great examples, and relevant case studies. – NRS Spring 2019 Conference Attendee
who attends
Conference attendees have included:
- Chief Compliance Officers / Investment Advisers / General Counsels / Broker-Dealers
- Managing Directors / Chief Financial Officers / Regulatory Analysts / Wealth Advisors / Attorneys
- Portfolio Managers / Securities Examiners / Executive Vice President’s / Compliance Managers
- Financial Planners / Operations Managers / Traders / Financial Service Professionals
Having trouble with registration or registering internationally? Click here
agenda sessions
Please note: All sessions are listed in Central Time (CT) and the agenda is subject to change
| Monday, October 26 | |
| 9:00am – 10:00am | Keynote Address |
| 10:00am – 10:30am | Meet Exhibitors/ Networking Break |
| 10:30am – 11:45am | Perspective from the Regulators (IA/BD) (Intermediate) SEC, FINRA, NASAA |
| 11:45am – 12:45pm | Meet Exhibitors / Networking Break |
| 12:45pm – 2:00pm |
|
| Tuesday, October 27 | |
| 9:00am – 10:15am |
|
| 10:15am – 10:45am | Meet Exhibitors / Networking Break / Post Session Q&A Roundtables |
| 10:45am – 12:00pm |
|
| 12:00pm – 1:15pm | Meet Exhibitors / Networking Break / Post Session Q&A Roundtables |
| 1:15pm – 3:15pm | Unpacking the Proposed Advertising and Solicitor Rule (IA) (Advanced) |
| 1:15pm – 2:15pm |
|
| 2:15pm – 3:15pm |
|
| 3:15pm – 3:45pm | Meet Exhibitors / Networking Break / Post Session Q&A Roundtables |
| Wednesday, October 28 | |
| 9:00am – 10:15am |
|
| 10:15am – 10:45am | Meet Exhibitors / Networking Break / Post Session Q&A Roundtables |
| 10:45am – 12:00pm |
|
| 12:00pm – 1:15pm | Meet Exhibitors / Networking Break / Post Session Q&A Roundtables |
| 1:15pm – 3:15pm |
|
| 3:15pm – 4:45pm | Meet Exhibitors / Networking Break / Post Session Q&A Roundtables |
| Thursday, October 29 | |
| 9:00am – 10:00am | How Do I Know I Have Done Enough? (IA/BD) (Intermediate) |
| 10:00am – 10:30am | Networking and Break |
| 10:30am – 11:45am |
|
| 11:45am – 12:30pm | Meet Exhibitors / Networking Break / Post Session Q&A Roundtables |
| 12:30pm – 2:30pm |
|
| 2:30pm – 3:00pm | Conference Wrap-Up |
- Fall 2020 Exhibitors And Sponsors
- Exhibitor Opportunities
- Brand Exposure And Sponsorship Opportunities
Fall 2020 exhibitors and sponsors
exhibitor opportunities
To keep up with today’s compliance issues, cybersecurity threats, record retention, and SEC, state & FINRA examinations to name a few, compliance staff realize they need assistance and are interested in partnering with industry service providers. Does your company have a technology, insurance, document storing/shredding or other resource service that would assist people working in compliance? If so, exhibiting at the NRS Fall 2020 Compliance Conference is a perfect opportunity to get in front of hundreds of potential clients and showcase your products or services to the NRS audience.
NRS Conference attendees are investment advisers, broker-dealers, compliance and legal professionals, traders and within financial services. Many of these professionals have decision-making responsibilities for services and products their companies buy and use.
Advantages as an Exhibitor:
- Address attendees from podium about your company
- Demonstrate your products & services during breakfasts, breaks and meet & greet function
- Networking opportunities held in the exhibit area
- Gain name & brand recognition throughout the conference via entitlements
- Access to compliance officers & other senior executives
Interested in being one of these partners? Email info@nrs-inc.com or call (860) 435-0200 today for pricing and more information.
brand exposure and sponsorship opportunities
NRS understands companies are looking for distinctive ways to get their brand in the minds and hands of audiences. We have designed opportunities to do just that at the NRS Fall 2020 Compliance Conference with two type of opportunities: Brand Exposures & Sponsorships.
- Brand Exposure Opportunities: Custom Banner Ad with Link to Company Website on Conference App, Open House – 20 Minute Product Demonstration or Service Presentation by Company Representatives or Company Marketing Literature Placements: Seat Drops, Insert in Conference Bag or Inclusion on Food Stations.
- Traditional Sponsorships with Additional Entitlements: Conference bags, Lanyards, Evening Receptions, Luncheons and more.
Your brand in the hands & minds of hundreds of potential clients.
Email info@nrs-inc.com or call (860) 435-0200 today for pricing and more information.
National Regulatory Services (NRS) conferences are designed to meet criteria for continuing education credits for compliance professionals, CPAs/accountants, attorneys and other professionals.
Maximum Recommended Credit Hours for the NRS Fall 2020 Compliance Conference will include CLE, IACCP, CPE and CFP credits.
CA MCLE = 16.5 (based on a 60-minute hour)
CFP = pending approval (based on a 50-minute hour)
IACCP = 17.0 general, 2.0 ethics (based on a 50-minute hour)
CPE = 19.0 in the Regulatory Ethics field of study (based on a 50-minute hour)
NRS is an approved provider of continuing education programs for the NRS Investment Adviser Certified Compliance Professionals® (IACCP®).
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 CE Quality Partner and 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 MCLE credits for attorneys.
Many of NRS’ conferences may qualify for Firm Element Continuing Education Credit. Please check your firm’s guidelines or contact continuinged@nrs-inc.com.
National Regulatory Services (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 the final authority on the acceptance of individual course for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.
