NRS Fall 2021 Compliance Conference
AGENDA UPDATED
October 26 – 28, 2021
$1895
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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October 2021
October 26, 2021 - Event
Transitioning to the New Advertising Rule
This session will review the revolutionary changes and identify and discuss possible approaches firms may take to address them in their policies and procedures.
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October 27, 2021 - Event
Professional Ethics: Ethical Decision-Making for Compliance Professionals
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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October 28, 2021 - Event
Critical Skills for High-Performance Compliance Professionals
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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November 2021
November 9, 2021 - 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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December 2021
December 9, 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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