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NRS Fall Compliance Conference for Investment Advisers and Broker-Dealers. More Information


The 2012 Annual Symposium has been cancelled. Watch for more information about upcoming programming.




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NRS Fall Compliance Conference for

Investment Advisers and Broker-Dealers
Manchester Grand Hyatt San Diego
October 10-12, 2012

 

Register Today

NAIBD Members: only $995!

Discount Code:  “NAIBD”

 

As a compliance professional, you know how recent laws, rules, enforcement actions and no-action letters can dramatically change key aspects of your compliance program.  You also know how difficult it is to stay current on regulatory issues.

 

Attend the NRS conference to discover how will you be affected by:

  • FINRA’s New Suitability Rule
  • The new Asset Management Unit of the SEC’s Division of Enforcement and its “Operation ADV”
  • The bill now in Congress that would create an SRO for investment advisers
  • The application of state lobbying rules to financial services marketers (particularly in California)
  • ERISA 408(b)(2) (your responsibilities didn’t end in July), 404(c)(3), and the newest definition of “fiduciary”
  • Increased branch office reviews by FINRA

 

The NRS 27th Annual Fall Investment Adviser and Broker-Dealer Compliance Conference in San Diego will address all issues at the core of SEC and FINRA post-financial crisis thinking on firm compliance and regulatory oversight.  Attend and arm yourself with practical methods to prepare your firm for a new, more aggressive regulatory climate.

 

Attendees can also take advantage of a full day of FREE workshops prior to the conference.  Each workshop takes a deep dive into vital matters including Professional Ethics, Mastering Critical Skills for High-Performance Compliance Professionals, Practical Compliance for Private Fund Advisers, SEC Examinations and FINRA’s New Suitability Rule.

 

Hear David Greene, Director of FINRA - District 2, Lisa Roth, member NAIBD, Carlo di Florio, Director, SEC - OCIE and other regulatory experts speak on today’s hot topics. 

 

Join regulators, leading attorneys, industry experts, your peers and the NRS Compliance Team in San Diego this October!   

 

Call 1-860-435-0200 or www.nrs-inc.com/Fall2012 for more details.

     

NATIONAL ASSOCIATION OF INDEPENDENT BROKER DEALERS
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