

NRS Spring 2021 Virtual Compliance Conference
May 17 – 20, 2021
$1,395
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.
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Virtual: Investment Adviser Core Compliance Program Symposium
June 8 – 11, 2021
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.
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Investment Adviser Professional Development Symposium
July 13 – 16, 2021
Attend our Investment Adviser Compliance Professional Development Symposium to network with your peers and advance your regulatory knowledge while obtaining valuable continuing education credits.
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Virtual: Investment Adviser Certified Compliance Professional Program Symposium
August 17 – 20, 2021
Attend our virtual Investment Adviser Certified Compliance Professional Program Symposium, and be half way to completing your IACCP® coursework.
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NRS Fall 2021 Compliance Conference
October 25 – 28, 2021
$1495
Join NRS at our Fall 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.
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Events Search and Views Navigation
April 2021

April 20, 2021 - Event
State Registered Investment Advisers: A Compliance Tutorial for Working with State Regulators
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.
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April 22, 2021 - Event
Private Fund Compliance Considerations
This course will help compliance, legal and management professionals stay informed about regulatory priorities and initiatives for private fund managers.
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May 2021

May 4, 2021 - Event
Compliance Considerations: Elder Investors and Financial Exploitation
This session will assess the regulations, best practices with senior clients, and how your intentions may conflict with personal and medical privacy laws.
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May 6, 2021 - Event
Cybersecurity Breaches: Information Security Planning, Incident Response, and Breach Resolution
This webinar will outline how to overcome breach challenges related to cloud technology, remote access, back-up services, data protection and more.
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May 17 – 20, 2021 - Event
NRS Spring 2021 Virtual Compliance Conference
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.
Find out more

May 18, 2021 - Event
Unpacking Changes to Advertising and Solicitor Rules 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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May 19, 2021 - Event
Professional Ethics: Ethical Decision-Making for Compliance Professionals Applying a VUCA Approach
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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May 20, 2021 - Event
Critical Skills for High-Performance Compliance Professionals: CCO Liability: Are You a Target?
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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June 2021

June 8 – 11, 2021 - Event
Virtual: Investment Adviser Core Compliance Program Symposium
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.
Find out more

June 15, 2021 - Event
IACCP Exam Study Session (optional)
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.
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