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 13, 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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May 2021
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 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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October 2021
October 12, 2021 - Event
Form ADV Part 2 and 3: Identifying and Disclosing Conflicts
This course will examine Form ADV Parts 2 & 3 and the form’s 19 specific disclosure topics, including advisory business, fees and compensation, and more.
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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.
Find out more
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.
Find out more
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.
Find out more
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.
Find out more
