Tag Archive: Testable Content


August 5, 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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August 4, 2020 - Event

Two Persistent Compliance Challenges: Insider Trading & Advisory Contracts: Part 1 Insider Trading

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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August 4, 2020 - Event

Investment Adviser Codes of Ethics: The Rule Plus Implications of 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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August 4, 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.
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August 4, 2020 - Event

Introduction to the Advisers Act: Framework, Registration, Exclusions and Exemptions; Exempt Reporting Advisers; Private Fund Advisers and More

This webinar provides details on the Investment Advisers Act of 1940; defining who qualifies as an “investment adviser,” sections 201-203A, 207-224 and more.
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August 4 – 6, 2020 - Event

Virtual: East Coast Investment Adviser Core Compliance Program Symposium

NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.
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July 15, 2020 - Event

Data Protection: Privacy, Identity Theft & Cybersecurity

This course is designed to help you understand what regulators expect firms to do and provide tools to design and implement information security programs.
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July 15, 2020 - Event

Mandates Beyond the Advisers Act: Anti-Money Laundering, ERISA & ’34 Act Section 13 Reporting for Investment Advisers

This course surveys AML, ERISA compliance for advisers and ’34 Act Section 13 reporting requirements for advisers – mandates that firm needs to implement.
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July 14, 2020 - Event

Two Trading Compliance Challenges: Trade Errors & Valuation: Part 1 – Trade Errors

This session will provide guidance on SEC examiners will expect to see and best practices for addressing trade errors consistent with fiduciary standards.
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July 14, 2020 - Event

Trading Compliance: Best Execution, Soft Dollars & Directed Brokerage

This course provides insight on the meaning of best execution, and focuses on how policies and procedures helps an adviser fulfill its obligations.
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