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 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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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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July 2020
July 28, 2020 - 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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December 2020
December 3, 2020 - 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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