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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Investment Advisers and
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:
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.