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January 2020

Businesswomen working at computer in office
January 28, 2020 - Event

Series 7 – Test Taking Tips

The Series 7 Exam – representative-level FINRA exam qualifies an individual to sell a full range of investment products, including corporate securities, municipal securities, investment companies, variable products, direct participation programs, options and government securities. This tutorial, available to students registered for Series 7 exam prep with NRS FIRE and will provide tips for taking the test. For more information on our NRS Securities Licensing Exam prep, visit here. To register for NRS Securities Licensing Exam Prep, go here.
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January 29 – 31, 2020 - Event

2020 National LINC Conference

Join NRS at National LINC 2020 Visit us at booth #114 to see our Form CRS tool in action and learn how we can help with your out-of-date RIA Manual There is nothing worse than starting with a blank page when it comes to your compliance. With anticipated changes brought on through recent regulatory shifts, your policies and procedures will need to be brought up-to-date. NRS can help you with your Form CRS filings and RIA manual ahead of your…
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Businesswomen working at computer in office
January 29, 2020 - Event

Series 63/65/66 – Test Taking Tips and Sample Questions

The Series 63 examination – the Uniform Investment Adviser Law – developed by NASAA and administered for NASAA by FINRA, evaluates an entry-level registered representative’s proficiency in understanding the principles of state securities regulations reflected in the Uniform Securities Act with NASAA rule amendments prohibiting dishonest and unethical business practices. The exam provides state securities administrators a basis to evaluate an applicant’s knowledge and understanding of state law and regulations. This exam is comprised of 60 scored questions and 5…
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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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February 6, 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.
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February 11, 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.
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February 13, 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.
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February 20, 2020 - Event

SEC Examination and Enforcement Update for Investment Advisers

This course addresses the SEC’s latest Examination and Enforcement Priorities, emerging risk areas, new trends, and steps to improve exam outcomes.
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February 25, 2020 - Event

Cybersecurity Breaches: Information Security Planning, Incident Response, and Breach Resolution

This webinar will outline how to overcome breach challenges related to cloud technology, remote access, back-up services, data protection and more.
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February 27, 2020 - Event

Form CRS: Preparation, Distribution, Procedures and More

On June 5, 2019, the SEC adopted Form CRS and new rules, as well as amendments to its forms and rules under the Investment Advisers Act of 1940. Form CRS and its related rules require SEC-registered Investment Advisers to deliver to retail investors a brief customer or client relationship summary that provides information about the firm. Investment Advisers are required to file their relationship summary electronically via the Investment Adviser Public Disclosure (IAPD) website. This course will examine the form’s…
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