Webinar Registration Form

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Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act November 14, 2019
Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements November 19, 2019
Practical Steps for Creating Form CRS for Investment Advisers November 20, 2019
RIA Year-End Compliance Check-up November 21, 2019
IACCP Exam Study Session November 26, 2019
Two Trading Compliance Challenges: Valuation and Trade Errors December 3, 2019
Compliance Programs Rules and Strategies for Managing Your Annual Review December 5, 2019
Compliance Professional Summit December 10, 2019
Successful Strategies for Buying or Selling an Investment Adviser Firm December 12, 2019
Introduction to the Advisers Act: Framework, Registration, Exclusions and Exemptions Exempt Reporting Advisers Private Fund Advisers and More January 9, 2020
Form ADV Part 1: Annual Updating Amendment and More January 14, 2020
Form ADV Parts 2A and 3: Identifying and Disclosing Conflicts January 16, 2020
Investment Adviser Performance and Advertising January 23, 2020
Books and Records Requirements for Investment Advisers January 28, 2020
Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers February 4, 2020
Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts February 6, 2020
Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act February 11, 2020
Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements February 13, 2020
SEC Examination and Enforcement Update for Investment Advisers February 20, 2020
Cybersecurity Breaches: Information Security Planning, Incident Response, and Breach Resolution February 25, 2020
Compliance Programs Rules and Strategies for Managing Your Annual Review March 3, 2020
Trading Practices, Portfolio Compliance and Related Enforcement Cases March 5, 2020
Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage March 10, 2020
Two Trading Compliance Challenges: Valuation and Trade Errors March 12, 2020
Mandates Beyond the Advisers Act: Anti-Money Laundering, ERISA and 34 Act Section 13 Reporting for Investment Advisers April 7, 2020
Data Protection: Privacy, Identity Theft and Cybersecurity April 9, 2020
TBD April 21, 2020
Professional Ethics: Ethical Decision-Making for Compliance Professionals (approved for IACCP CE Ethics credit) April 22, 2020
Critical Skills for High-Performance Compliance Professionals April 23, 2020
State Registered Investment Advisers: A Compliance Tutorial for Working with State Regulators May 5, 2020
Form CRS: Preparation, Distribution, Procedures and More May 7, 2020
Private Fund Compliance Considerations May 12, 2020
Compliance Considerations: Elder Investors and Financial Exploitation May 14, 2020
Are You Prepared: Business Continuity, Disaster Recovery, Succession Planning and More June 23, 2020
SEC Examination and Enforcement Update for Investment Advisers June 25, 2020
TBD July 23, 2020
IACCP Exam Study Session July 28, 2020
Mandates Beyond the Advisers Act: Anti-Money Laundering, ERISA and 34 Act Section 13 Reporting for Investment Advisers August 18, 2020
Data Protection: Privacy, Identity Theft and Cybersecurity August 20, 2020
Introduction to the Advisers Act: Framework, Registration, Exclusions and Exemptions, Exempt Reporting Advisers, Private Fund Advisers and More September 10, 2020
Form ADV Part 1: Annual Updating Amendment and More September 15, 2020
Form ADV Part 2 and 3: Identifying and Disclosing Conflicts September 17, 2020
Investment Adviser Performance and Advertising September 22, 2020
Books and Records Requirements for Investment Advisers September 24, 2020
Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers September 29, 2020
Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts October 1, 2020
Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act October 6, 2020
Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements October 8, 2020
Compliance Programs Rules and Strategies for Managing Your Annual Review October 13, 2020
TBD October 27, 2020
Professional Ethics: Ethical Decision-Making for Compliance Professionals (approved for IACCP CE Ethics credit) October 28, 2020
Critical Skills for High-Performance Compliance Professionals October 29, 2020
Trading Practices, Portfolio Compliance and Related Enforcement Cases November 12, 2020
Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage November 17, 2020
RIA Year-End Compliance Check-up November 19, 2020
Two Trading Compliance Challenges: Valuation and Trade Errors December 1, 2020
IACCP Exam Study Session December 3, 2020
Compliance Professional Summit December 8, 2020
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Only $239 per attendee for each seminar
Team Training Discount - additional attendees from the same firm receive a 15% discount
custom training specific seminars can be arranged, call for pricing

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