Events

Loading Events

Upcoming Events

Events Search and Views Navigation

Event Views Navigation

Notice: Utilizing the form controls will dynamically update the content

September 2020

September 15, 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
September 17, 2020 - 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.
Find out more
September 22, 2020 - 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
September 24, 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
September 29, 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

October 2020

October 1, 2020 - Event

Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts

The course will include a discussion on the development of the insider trading law, (Section 204A), recent insider trading cases, and policymaking.
Find out more
October 6, 2020 - Event

Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act

This course will examine the different investment adviser’s fiduciary duties as it has evolved and provide examples of how it impacts operations.
Find out more
October 8, 2020 - Event

Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements

This course provides key details on Section 206 of the Advisers Act as it pertains to Custody, Political Contributions, and Proxy Voting.
Find out more
October 13, 2020 - Event

Compliance Programs Rules and Strategies for Managing Your Annual Review

This course identifies internal controls and compliance testing and documentation procedures within the structure of a practical compliance program.
Find out more
October 26 – 29, 2020 - Event

NRS Fall 2020 Compliance Conference

special message from NRS NRS is actively monitoring the Coronavirus COVID-19 situation to ensure the safety of attendees and presenters at all our live events. We will update those registered to attend live events as changes are made to our event schedule. Select events will be available virtually. 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…
Find out more
+ Export Events