Fall 2017 Compliance Conference :: Homepage
Fall 2017 Compliance Conference
Four Seasons Hotel Las Vegas, NV October 23 - 26 2017
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Want to Stay Ahead of Compliance Expectations?  

As a compliance professional at an investment adviser or broker-dealer firm, you know that the SEC, FINRA and DOL require that you:

a) Thoroughly understand the many rules, cases, no-action letters, guidance statements, risk alerts, etc. that govern your business; and 

b) Create, test and enforce policies and procedures that apply these requirements to your firm's specific needs.

The NRS Fall 2017 Compliance Conference – Customizing Your Compliance Solutions provides the latest compliance news and the most thorough look at the current regulatory landscape.  We also provide the cutting edge know-how you need to develop a workable, effective compliance program.  

Our sessions are designed to give you the insight and tools that will transform the tangle of one-size-fits-all rules and requirements into a smooth-running compliance system that you can custom-design to your firm’s unique business.  

How do we do this?  By combining more than 30 years of providing compliance education with:

  • Sought-after speakers
  • Veteran industry professionals
  • Hands-on workshops
  • Unrivalled networking
  • Actionable takeaways
  • Solutions-driven exhibitors

Come join us this October.  The knowledge and skills you develop in Vegas will definitely not stay in Vegas!  

Past conference attendees have included:

   Chief Compliance Officers / Investment Advisers / General Counsels / Broker-Dealers

   Managing Directors / Chief Financial Officers / Regulatory Analysts / Wealth Advisors / Attorneys

   Portfolio Managers / Securities Examiners / Executive Vice President’s / Compliance Managers 

   Financial Planners / Operations Managers / Traders / Financial Service Professionals

Exhibitors
  • Broadridge
  • Chicago Clearing Corporation
  • Starkweather Shepley
  • Fi360
Past Attendee Comments
  • The Keynotes were fabulous!  Love the sessions that teach through example
    Spring 2017 Conference Attendee
  • Top notch! The presenters and staff at NRS are so knowledgeable and helpful!
    Fall 2016 Conference Attendee
  • This was my 1st time attending, as usually my boss attends. I look forward to attending again in the future.   
    Spring 2017 Conference Attendee
  • Definitely looking forward to future conferences! 
    Fall 2016 Conference Attendee
  • This is the 5th conference I've attended and always have new ideas to take back to the firm.   
    Spring 2017 Conference Attendee
  • Very positive experience, as always, which is why I return every year.  
    Fall 2016 Conference Attendee