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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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Businesswomen working at computer in office
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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Businesswomen working at computer in office
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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Businesswomen working at computer in office
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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