NRS Investment Adviser Compliance Symposia
Registration Form

Select Courses(s)

Course Title Date Location  

Form ADV Part 1: Annual Updating Amendment and More

    (Price: $235.00)

July 16, 2019
8:30 a.m. - 10:30 a.m. (CT)
Gleacher Center, Chicago, IL

Form ADV Part 2: Identifying and Disclosing Conflicts

    (Price: $235.00)

July 16, 2019
10:45 a.m. - 12:45 p.m. (CT)
Gleacher Center, Chicago, IL

Investment Adviser Performance and Advertising

    (Price: $235.00)

July 16, 2019
2:00 p.m. - 4:00 p.m. (CT)
Gleacher Center, Chicago, IL

Trading Practices, Portfolio Compliance and Related Enforcement Cases

    (Price: $235.00)

July 17, 2019
8:30 a.m. - 10:30 a.m. (CT)
Gleacher Center, Chicago, IL

Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage

    (Price: $235.00)

July 17, 2019
10:45 a.m. - 12:45 p.m. (CT)
Gleacher Center, Chicago, IL

Two Trading Compliance Challenges: Valuation and Trade Errors

    (Price: $235.00)

July 17, 2019
2:00 p.m. - 4:00 p.m. (CT)
Gleacher Center, Chicago, IL

Professional Ethics: Ethical Decision-Making for Compliance Professionals (approved for IACCP Ethics credit)

    (Price: $235.00)

July 18, 2019
8:30 a.m. - 10:30 a.m. (CT)
Gleacher Center, Chicago, IL

Critical Skills for High-Performance Compliance Professionals: Closing the Circle

    (Price: $235.00)

July 18, 2019
10:45 a.m. - 12:45 p.m. (CT)
Gleacher Center, Chicago, IL

SEC Examination and Enforcement Update for Investment Advisers

    (Price: $235.00)

July 18, 2019
2:00 p.m. - 4:00 p.m. (CT)
Gleacher Center, Chicago, IL

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

    (Price: $235.00)

August 6, 2019
8:30 a.m. - 10:30 a.m. (ET)
Boston, MA

Books and Records Requirements for Investment Advisers

    (Price: $235.00)

August 6, 2019
10:45 a.m. - 12:45 p.m. (ET)
Boston, MA

Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts

    (Price: $235.00)

August 6, 2019
2:00 p.m. - 4:00 p.m. (ET)
Boston, MA

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

    (Price: $235.00)

August 7, 2019
8:30 a.m. - 10:30 a.m. (ET)
Boston, MA

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

    (Price: $235.00)

August 7, 2019
10:45 a.m. - 12:45 p.m. (ET)
Boston, MA

Compliance Programs Rules and Strategies for Managing Your Annual Review

    (Price: $235.00)

August 7, 2019
2:00 p.m. - 4:00 p.m. (ET)
Boston, MA

Professional Ethics: Ethical Decision-Making for Compliance Professionals (approved for IACCP Ethics credit)

    (Price: $235.00)

August 8, 2019
8:30 a.m. - 10:30 a.m. (ET)
Boston, MA

Critical Skills for High-Performance Compliance Professionals: Closing the Circle

    (Price: $235.00)

August 8, 2019
10:45 a.m. - 12:45 p.m. (ET)
Boston, MA

SEC Examination and Enforcement Update for Investment Advisers

    (Price: $235.00)

August 8, 2019
2:00 p.m. - 4:00 p.m. (ET)
Boston, MA

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