Tag Archive: Elective


April 28 – May 1, 2019 - Event

NRS Spring 2019 Compliance Conference

Save the date! NRS Spring 2019 Compliance Conference April 28 – May 1 Hyatt Regency Grand Cypress, Orlando, FL
Find out more
December 11, 2018 - Event

Compliance Professional Summit

Course Description: Today’s compliance professionals are facing an era of dynamic and rapid regulatory change. New regulatory leadership and initiatives are changing securities regulation in fundamental ways. More demanding regulatory inspections and growing expectations (such as social media and cloud computing) are straining compliance resources. Now, more than ever, the periodic identification and assessment of […]
Find out more
December 6, 2018 - Event

Broker-Dealer – Topic TBD

Course Description: Coming Soon
Find out more
November 6, 2018 - Event

Closing the Circle: Matching Advertising, Contracts, Disclosures and Procedures

Ideally, your firm’s advertisements, contracts, disclosures and supervisory procedures should perfectly mesh.
Find out more
NRS 2018 Fall Conference
November 5 – 8, 2018 - Event

NRS Fall 2018 Compliance Conference

Come to Carlsbad, as the locals call it “The Village by the Sea”, for compliance education and peer interaction. Join NRS at our Fall 2018 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 […]
Find out more
October 23, 2018 - Event

RIA Year-End Compliance Check-up

Course Description: This timely course gives you the opportunity to review, identify and discuss investment adviser compliance action items that should be part of the compliance officer’s year-end checklist. To help review the current year and plan for the future, instructors will walk you through key compliance resolutions for the year ahead. Essential to this […]
Find out more
August 28, 2018 - Event

SEC Examination and Enforcement Update for Investment Advisers

This course will speak to how the examination and enforcement culture has changed at the SEC, the new types of SEC exams, and how firms can prepare for them.
Find out more
August 23, 2018 - Event

Damage Control: What To Do When Your Firm Breaks the Rules

Course Description: Even the most diligent firms with strong and effective Compliance and Risk Management processes in place can find themselves facing major problems. When risk events inevitably occur, will you know how to respond? The importance of successfully managing and containing these situations cannot be overstated. A crisis can hit in many forms: Two […]
Find out more
August 16, 2018 - Event

SEC Examination and Enforcement Update for Investment Advisers

Course Description: This course will speak to how the examination and enforcement culture has changed at the SEC, the new types of SEC exams, and how firms can prepare for them. Sample document request lists will be provided to review specific requested documents for different types of firms. Our expert presenters will address: SEC’s Latest […]
Find out more
August 7, 2018 - Event

Business Continuity Planning, Disaster Recovery, Succession Planning and More

Course Description: In June 2016, the SEC issued a rule proposal, Adviser Business Continuity and Transition Plans, which would prohibit an SEC-registered investment adviser from providing investment advice unless the adviser adopts and implements a written business continuity and transition plan and reviews the plan at least annually. While a final rule has yet to […]
Find out more