Upcoming Events Check back soon for
View Past Webinars Regulatory Updates - What you Need to Know! Guilty Until Proven Innocent - What You Need to Know About Arbitration Regulatory Update Hiring and Retaining Top Talent Compliance Issues Posed by LinkedIn, Twitter, Blogging & Couldn't attend? NAIBD members can see and hear a complete recording of the webinar by logging into the Members Only section.
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Industry Calendar
June 1 – IA Watch and BD Week Webinar: An Up-Close Look at Practical Tips for Social Media
June 2 – FINRA District 5 Compliance Meeting
June 2 – FPA 38th Annual FPA NorCal Conference
June 3 – FINRA CCOutreach Broker-Dealer Program
June 3 – FINRA District 5 Compliance Meeting
June 3 – SIFMA/NYSE Diversity Seminar: A Dialogue Between Industry Professionals
June 6 – FINRA District 6 Compliance Meeting
June 7 – FINRA District 9A Compliance Meeting
June 7 – NSCP East Coast Regional Meeting
June 7 – NSCP NY Internal Exams
June 8 – FINRA District 10 Compliance Meeting
June 8 – NSCP NY Lab on WSP's
June 8 – NRS Disclosure: Form ADV Part I and Regulatory Reporting
June 8 – FSI Regional Roundtable
June 8 – NSCP Labs Hands On
June 9 – FINRA District 10 Preventive Compliance Meetings - Market Regulation
June 9 – FINRA District 9A Compliance Teleconference
June 9 – FINRA District 1 Compliance Meeting
June 9 – Strategy Institute Toronto risk management & Compliance
June 9-10 – Strategy Institute Compliance & Risk Management
June 9-11 – SIFMA Financial Management Society's 17th Annual Regional Conference
June 9-11 – Pershing's Financial Solutions Conference
June 10 – NRS Disclosure: Form ADV Part II and Identifying and Disclosing Conflicts of Interest
June 14 – SIFMA Systemic Risk Regulation Summit
June 15 – NRS Investment Adviser Regulatory Update
June 16 – FINRA North Region Compliance Conference Call
June 17 – NRS Preparing for an SEC Examination: Identifying Priorities for 2010
June 17 – SIFMA AMF Member Meeting: "Operational Risk Across the Firm"
June 22-24 – SIFMA Financial Services Technology Expo
June 23 – MSRB–SIFMA Municipal Securities Regulation Seminar
June 24 – 26 – SIFMA Stock Market Game Symposium
June 29-30 – RBDA Retail Leadership Roundtable and Dinner
June 29-30 – FSI Regional Roundtable
July 7 – FINRA District 4 Small Firm Roundtable Seminar
July 13 – FINRA District 11 Compliance Meeting
July 13 – FINRA District 2 Compliance Meeting
July 13 – FINRA District 10 Preventive Compliance Meetings - Financial Operational Issues
July 14 – FINRA District 9B Half-Day Compliance Boot Camp
July 15 – RBDA Institutional Leadership Roundtable and Dinner
July 26 – FPA Life-Cycle Investing for Financial Planners
July 27 – FINRA District 8 Compliance Meeting
July 27 – FINRA CCOutreach Broker-Dealer Program
July 29-30 – FINRA District 5 South Region Compliance Seminar
August 2 – FINRA District 9A Compliance Meeting
August 3 – FINRA District 9B Compliance Meeting
August 3 – FINRA District 9A Compliance Teleconference
August 3 – FINRA District 8 Compliance Meeting
August 3 – NRS Ethics: Part 1—Investment Adviser Codes of Ethics—Requirements and Best Practices
August 4 – FINRA District 9B Compliance Meeting
August 5 – NRS Ethics: Part 2—Ethical Decision-Making and Lessons Learned from SEC Enforcement Cases
August 26 – FINRA District 4 Compliance Meeting
September 14 – NRS Developing a Tailored IA Compliance Testing Program: Forensic Focus
September 15 – FINRA District 10 Preventive Compliance Meetings - Private Placements
September 16 – FINRA District 3A Compliance Meeting
September 16 – FINRA District 3B Current Regulatory Issues
September 16 – FINRA District 7 Meeting
September 21 – FINRA District 10 Compliance Meeting
September 21 – FINRA District 9A Half-Day Compliance Boot Camp
September 21 – FINRA District 1 Compliance Meeting
September 23 – FINRA District 2 Compliance Meeting
September 26-28 – Ascendant Conference
September 26-29 – NASAA 2010 Fall Conference
October 4 – NRS Ethics: Part 1—Investment Adviser Codes of Ethics—Requirements and Best Practices Ethics: Part 2—Ethical Decision-Making and Lessons Learned from SEC Enforcement Cases
October 5 – NRS Disclosure: Form ADV Part I and Regulatory Reporting
October 12 - FINRA District 11 Compliance Meeting
October 13 – FINRA District 9B Compliance Meeting
October 13 – FINRA District 10 Preventive Compliance Meeting - Regulatory Issues and Concerns for Institutional Firms
October 13-15 – Pershing's Customer Conference 2010
October 14 – FINRA District 6 Compliance Meeting
October 26 – NRS RIA Year-End Compliance Check-Up
October 26 – FINRA District 7 Meeting
November 1 – FINRA North Region Compliance Conference Call
November 1-3 – NSCP National Meeting
November 2 – NRS Advisers Act: Framework of the Act—Duty to Supervise; Who Must Register; Exclusions and Exemptions; State and and Federal Responsibilities
November 3 – FINRA District 4 Half-Day Compliance Boot Camp
November 4 – NRS Advisers Act: Books and Records—Today’s Requirements
November 9 – NRS Advisers Act: Brochure Rule; Prevention of Insider Trading; Codes of Ethics Rule; Advisory Contracts
November 9-10 – FINRA Advertising Regulation Conference
November 10 – FINRA District 10 Preventive Compliance Meeting - FINRA Rules Update
November 15 – FINRA District 4 Compliance Meeting
November 16 – NRS Advisers Act: Anti-Fraud Rules—Fiduciary Duty, Principal and Agency Cross Transactions, Pooled Investment Vehicles, Advertising Rule
November 18 – NRS Advisers Act: Anti-Fraud Rules—Custody, Solicitors, Financial and Disciplinary Disclosure, Proxy Voting
November 30 – NRS Advisers Act: Anti-Fraud Rules—Compliance Programs Rules and Mastering the Annual Review
December 2 – NRS IACCP Exam Study Session
December 7 – FINRA District 10 Compliance Meeting
December 7 – NRS Investment Adviser Regulatory Update
December 7 – FINRA District 10 Preventive Compliance Meeting – Year in Review
December 14 – NRS The Architecture of a Sustainable IA Compliance Program
January 31 – February 2 - FSI Broker-Dealer Conference |
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