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NRS Spring 2021 Compliance Conference

May 17 – 20, 2021
$1495
Register Now

NRS Conference
Join NRS at our Spring 2021 Compliance Conference for Investment Advisers and Broker Dealers, where industry experts will address how 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

Pre-Register Now

hotel information

Hyatt Regency Coconut Point Resort and Spa
5001 Coconut Road
Bonita Springs, FL 34134
Tel: +1 239-444-1234

Room block reservation link coming soon.

  • Set in tropical gardens overlooking the Gulf of Mexico, this upscale resort is an 18.3-mile drive from Estero Island and 13.3 miles from Lovers Key State Park’s beaches.
  • The resort has 4 restaurants, 2 bars and a cafe. Other amenities include a lagoon pool with slides and hot tubs, a golf course, tennis courts and a kids’ club. There’s also a spa, a private island beach, water sports and boat tours.

group room block

NRS has secured a special discounted group room rate of $269.00 and resort fee of $10.00 plus tax/per night for the dates of May 17-19, 2021. Group rate will be available until sold out or April 26, 2021.

Room block reservation link coming soon

Nearest Major Airport: The Southwest Florida International Airport (RSW), operated by the Lee County Port Authority, is just 20 minutes from Bonita Springs, and serves the area with both domestic and international flights. More than 20 airline partners serve RSW with nonstop service throughout North America and international service to Canada and Germany. With flights to major gateways like Atlanta, Chicago, New York and more, travelers have access to convenient connections worldwide.

Coming Soon

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 Spring 2021 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? To learn more, 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 Spring 2021 Compliance Conference with multiple sponsorship and branding opportunities.

  • 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 Spring 2020 Compliance Conference will include CLE, IACCP, CPE and CFP credits.

Pre-Conference Workshop A: Details to follow
Pre-Conference Workshop B: Details to follow
Main Conference: Details to follow

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.

CPE

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.