As 2020 draws to a close, many Investment Adviser and Broker Dealer firms are reflecting on the current regulatory landscape and the impact of COVID-19 on their compliance operations.

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…

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.

This course identifies internal controls and compliance testing and documentation procedures within the structure of a practical compliance program.

This course provides insight on the meaning of best execution, and focuses on how policies and procedures helps an adviser fulfill its obligations.

This course gives you the opportunity to review, identify and discuss RIA compliance actions that should be part of your year-end checklist.

This session will provide guidance on SEC examiners will expect to see and best practices for addressing trade errors consistent with fiduciary standards.

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.