NRS Spring 2020 Compliance Conference
April 20 – 23, 2020
$1,695
Join NRS at our Spring 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.
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West Coast Investment Adviser Core Compliance Program Symposium
June 2 – 4, 2020
NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.
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Central Investment Adviser Certified Compliance Professional Program Symposium
July 14 – 16, 2020
Gain a foundation in IA Compliance and complete requirements for your IACCP® Designation
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East Coast Investment Adviser Core Compliance Program Symposium
August 4 – 6, 2020
NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.
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NRS Fall 2020 Compliance Conference
October 26 – 29, 2020
$1,495
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…
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January 2020
January 23, 2020 - Event
Investment Adviser Performance and Advertising
This session will help advisers avoid pitfalls and understand the advertising rule requirements and the many SEC no-action letters.
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January 28, 2020 - Event
Series 6 – Test Taking Tips
The Series 6 representative-level FINRA exam qualifies an individual to sell investment companies, including mutual funds; and variable contracts, including variable annuities and variable life insurance. This tutorial, available to students registered for Series 6 exam prep with NRS FIRE and will cover tips on taking the test. For more information on our NRS Securities Licensing Exam prep, visit here. To register for NRS Securities Licensing Exam Prep, go here.
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January 28, 2020 - Event
Books and Records Requirements for Investment Advisers
This session will cover the SEC books and records rule, recent amendments and expectations regarding non-required records included in the exam list.
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January 28, 2020 - Event
Series 7 – Test Taking Tips
The Series 7 Exam – representative-level FINRA exam qualifies an individual to sell a full range of investment products, including corporate securities, municipal securities, investment companies, variable products, direct participation programs, options and government securities. This tutorial, available to students registered for Series 7 exam prep with NRS FIRE and will provide tips for taking the test. For more information on our NRS Securities Licensing Exam prep, visit here. To register for NRS Securities Licensing Exam Prep, go here.
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January 29, 2020 - Event
Series 63/65/66 – Test Taking Tips and Sample Questions
The Series 63 examination – the Uniform Investment Adviser Law – developed by NASAA and administered for NASAA by FINRA, evaluates an entry-level registered representative’s proficiency in understanding the principles of state securities regulations reflected in the Uniform Securities Act with NASAA rule amendments prohibiting dishonest and unethical business practices. The exam provides state securities administrators a basis to evaluate an applicant’s knowledge and understanding of state law and regulations. This exam is comprised of 60 scored questions and 5…
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February 2020
February 4, 2020 - Event
Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers
This course focuses on identifying requirements that must be covered in an adviser’s code of ethics and tailoring them to meet your firm’s goals.
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February 6, 2020 - Event
Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts
The course will include a discussion on the development of the insider trading law, (Section 204A), recent insider trading cases, and policymaking.
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February 11, 2020 - Event
Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act
This course will examine the different investment adviser’s fiduciary duties as it has evolved and provide examples of how it impacts operations.
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February 13, 2020 - Event
Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements
This course provides key details on Section 206 of the Advisers Act as it pertains to Custody, Political Contributions, and Proxy Voting.
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February 20, 2020 - Event
SEC Examination and Enforcement Update for Investment Advisers
This course addresses the SEC’s latest Examination and Enforcement Priorities, emerging risk areas, new trends, and steps to improve exam outcomes.
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