Conference Highlights

The 2010 NRS Fall Conference provides compliance professionals the opportunity to immerse themselves in multiple days of education and training. Here are a few reasons why you should attend:

Choose sessions from a cutting-edge agenda with varied offerings for investment advisers, broker-dealers and dual registrants
Attend sessions that provide a great learning opportunity for both new and seasoned compliance and industry professionals
Learn from speakers who are recognized industry and compliance experts
Take part in an opening panel with officials from the SEC, FINRA and NASAA who will map out the regulatory agenda for the remainder of 2010 and beyond
Listen to panels on SEC and FINRA examination and enforcement trends
Participate in a special session offering the latest on OFAC and AML risk management
Talk compliance with colleagues at a Peer-Learning Discussion Group geared to your firm
Meet at a premier destination, the Hyatt Regency Scottsdale Resort and Spa
Enhance your experience with receptions and professional networking opportunities
Earn CE credits for most sessions including a special session on Professional Ethics for Compliance Professionals

Who Should Attend

Compliance challenges and managing risk are key issues for all divisions within a firm. Therefore, NRS believes that the following personnel should attend and would benefit:

Senior Management
Compliance Officers and Staff
In-House Counsel
Operations Managers
Trading Personnel
Marketing and Research Staff
Branch Managers
Internal Audit Staff

NRS has the practical expertise, proven capability and unparalleled reach to deliver integrated and effective compliance solutions to a wide range of users within the financial services industry. NRS delivers these solutions through three interrelated offerings—comprehensive education, best in-class technology and expert consulting services—enabling our clients to meet their regulatory requirements and minimize risk.

NRS Education provides the knowledge and insight necessary for CCOs and compliance staff to meet the challenges of a demanding and fluid regulatory environment. Our mission is to advance compliance as a profession and support compliance professionals in managing a successful compliance program.