Scope, Learning Objectives and Prerequisites
This intermediate level conference examines regulatory developments and industry best practices for investment adviser and broker-dealer legal/compliance professionals with the goal of enhancing their professional competency. Legal, regulatory and industry experts will explain new regulations issued by Federal, State and SRO regulatory agencies, and offer policy and procedures guidance to assist compliance professionals maintain strong and effective compliance programs to protect their firm and the investing public. Ample time will be allowed for delegate questions. A conference handbook will be provided to support oral presentations. While nothing is required in the way of advance preparation, as pre-requisites; delegates should be current practicing compliance professionals and have a basic understanding of definitions and concepts that arise under Investment Advisers Act of 1940 and The Securities Exchange Act of 1934.
Comments or complaints regarding this conference should be directed to Christopher Chevalier, Director of Conference Services at: 860-435-2541 or cchevalier@nrs-inc.com
Continuing Education Credit Information
National Regulatory Services (NRS) conferences and seminars are designed to meet criteria for continuing education credits for financial planners, attorneys and other professionals. NRS is listed on the National Association of State Boards of Accountancy (NASBA) Registry as an approved provider of CPE credits for accountants and as a sponsor of CFP continuing education credits with the Certified Financial Planner Board of Standards. NRS has been certified by the California Continuing Legal Education Board as an Approved Provider of CLE credits for attorneys. CLE credits are available for most other states and may vary according to your state’s regulations. To learn more about Continuing Education, call +1-860-435-2541 x1882 or e-mail continuinged@nrs-inc.com.
Continuing Education Credits
Recommended CPE credits: 12
Main Conference:
CPE = 12 credits
CLE = 14.5 credits (based on 60 min contact hour) California CLE provider #12569
CFP = pending individual course submission/approval
IACCP = 15 general credits; 2 ethics credits
National Regulatory Services is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Ave. North, Suite 700, Nashville, TN 37219-2417, www.nasba.org.
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