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Investment Adviser Core Compliance Program Symposium Registration Form

Select Day(s) you plan to attend – Individual First Day Rate $500, Individual Second Day Rate $750, Individual Third Day Rate $750, Individual Fourth Day Rate $500*

*If you are attending all four days and are not already enrolled in the IA Core Compliance or IACCP® program, consider enrolling here instead of registering for this event individually. Already enrolled in the IA Core Compliance or IACCP® program? Please register for the symposium through your Resource Center portal.

If none of these apply, please proceed with your registration below.

  Day One - Tuesday, July 19th 2022
MAN01 - Mandates Beyond the Advisers Act: Anti-Money Laundering, ERISA and '34 Act Section 13 Reporting for Investment Advisers
MAN02 - Mandates Beyond the Advisers Act: Data Protection: Privacy, Identity Theft and Cybersecurity
  Day Two - Wednesday, July 20th 2022
TRA01 - Trading Practices, Portfolio Compliance and Related Enforcement Cases
TRA02 - Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage
TRA03 - Two Trading Compliance Challenges: Trade Errors and Valuation
  Day Three - Thursday, July 21st 2022
DIS03 - Investment Adviser Performance and Advertising
ELC02 - GIPS for Investment Advisers
ELC05 - Are You Prepared: Business Continuity, Disaster Recovery, Succession Planning and More
  Day Four - Friday, July 22nd 2021
SKL01 - Critical Skills for High-Performance Compliance Professionals
ELC01 - SEC Examination and Enforcement Update for Investment Advisers

*If you are attending all four days and are not already enrolled in the IA Core Compliance or IACCP® program, consider enrolling in the IA Core Compliance Program instead of registering for this event individually. Enroll Here.

Click here to View the Cancellation Policy

Total Price
(State sales taxes may apply. Not included here in total purchase.)
$
IACCP® Designee Special CE Rate Code

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Note: If your mailing address is outside the USA, please email sales@nrs-inc.com to register.

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Adviser Only Broker-Dealer Only Dually Registered
Attorney/Law Firm Bank Insurance
Fund Administrator Transfer Agent Mutual Fund
Private Fund Other

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