The course will review the rules that determine who must register with the SEC vs states, and will highlight differences between SEC and state requirements.

This course will help compliance, legal and management professionals stay informed about regulatory priorities and initiatives for private fund managers.

This session will assess the regulations, best practices with senior clients, and how your intentions may conflict with personal and medical privacy laws.

This webinar will outline how to overcome breach challenges related to cloud technology, remote access, back-up services, data protection and more.

Join NRS Spring 2021 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.

This session will cover the SEC books and records rule, recent amendments and expectations regarding non-required records included in the exam list.

This session will cover the SEC books and records rule, recent amendments and expectations regarding non-required records included in the exam list.

This session will cover the SEC books and records rule, recent amendments and expectations regarding non-required records included in the exam list.

Attend our virtual Investment Adviser Core Compliance Program Symposium, complete the coursework in 4 days and receive your IA Core Compliance Program Certificate of Achievement.

The IACCP exam study session will test your knowledge and allow you to become familiar with the types of questions you will encounter when taking the exam.