NRS Spring 2020 Compliance Conference
April 20 – 23, 2020
$1,495
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. 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…
Find out more
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…
Find out more
Events Search and Views Navigation
Notice: Utilizing the form controls will dynamically update the content
January 2020
January 9, 2020 - Event
Introduction to the Advisers Act: Framework; Registration, Exclusions and Exemptions; Exempt Reporting Advisers; Private Fund Advisers and More
This webinar provides details on the Investment Advisers Act of 1940; defining who qualifies as an “investment adviser,” sections 201-203A, 207-224 and more.
Find out more
January 14, 2020 - Event
Form ADV Part 1: Annual Updating Amendment and More
This session will walk through Form ADV Part 1 and examine disclosure requirements that impact all advisers, and help you fully understand AUA requirements.
Find out more
January 16, 2020 - Event
Form ADV Part 2 and 3: Identifying and Disclosing Conflicts
Five years ago the SEC approved a new Form ADV Part 2, a “plain English” narrative approach to client disclosure, which was put into effect in 2011.
Find out more
January 23, 2020 - Event
Investment Adviser Performance and Advertising
Investment adviser advertising continues to be one of the top problem areas identified by the SEC.
Find out more
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.
Find out more
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.
Find out more
