Monday Holly Orefice 4/10/24 Monday Holly Orefice 4/10/24 Registration 7:00 AM - 5:00 PM Read More Monday Meghan Flanagan 5/9/22 Monday Meghan Flanagan 5/9/22 Breakfast 7:30 AM - 9:00 AM Read More Monday Holly Orefice 5/2/22 Monday Holly Orefice 5/2/22 Welcome & Opening Remarks (OPEN) 8:50 AM - 9:00 AM Read More Monday, Keynote-Monday Meghan Flanagan 4/8/22 Monday, Keynote-Monday Meghan Flanagan 4/8/22 General Session Keynote - G.R.I.T. Through It™: The Science behind Success (OPEN) 9:00 AM - 10:00 AM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1a. ALL – Avoiding Greenwashing: Compliance Considerations for ESG Investments (Intermediate - OPEN) 10:15 AM - 11:15 AM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1b. ALL LAB – Managing Conflicts of Interest and Employee Reporting Obligations (Intermediate - CLOSED) 10:15 AM - 11:15 AM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1c. BD LAB – Best Practices for Testing, Supervision, and Surveillance (Intermediate - CLOSED) 10:15 AM - 11:15 AM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1d. BD – Interaction with the FINRA MAP Group on Rule 1017 (Intermediate - OPEN) 10:15 AM - 11:15 AM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1e. IA/PF – Regulatory Filings: Requirements, Pitfalls and Best Practices (Intermediate - OPEN) 10:15 AM - 11:15 AM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1f. IA/IC/PF – Cybersecurity Risk Management (Intermediate - OPEN) 10:15 AM - 11:15 AM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1g. IA/PF - Annual Review of Policies and Procedures (Basic - OPEN) 10:15 AM - 11:15 AM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2a. ALL - Building your Compliance Team (Intermediate - OPEN) 11:30 AM - 12:30 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2b. BD – Cybersecurity Risk Management (Intermediate - OPEN) 11:30 AM - 12:30 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2c. BD LAB – Preparing for BD Regulatory Examinations (Intermediate - CLOSED) 11:30 AM - 12:30 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2d. BD/IA - Due Care and Investment Advice: Confluence of Duties of Care? (Advanced - OPEN) 11:30 AM - 12:30 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2e. IA/IC/PF LAB – Preparing for SEC Regulatory Examinations (Intermediate - CLOSED) 11:30 AM - 12:30 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2f. PF – Performance Presentations in Fund Marketing (Intermediate - OPEN) 11:30 AM - 12:30 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2g. BD/IA - Dual Registrants Talk Group (Small to Medium Firms) - (CLOSED) 11:30 AM - 12:30 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2h. BD/IA - Dual Registrants Talk Group (Large Firms) - (CLOSED) 11:30 AM - 12:30 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 Luncheon & NSCP Business Meeting (OPEN) 12:30 PM - 1:30 PM Read More Older Posts
Monday Holly Orefice 5/2/22 Monday Holly Orefice 5/2/22 Welcome & Opening Remarks (OPEN) 8:50 AM - 9:00 AM Read More
Monday, Keynote-Monday Meghan Flanagan 4/8/22 Monday, Keynote-Monday Meghan Flanagan 4/8/22 General Session Keynote - G.R.I.T. Through It™: The Science behind Success (OPEN) 9:00 AM - 10:00 AM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1a. ALL – Avoiding Greenwashing: Compliance Considerations for ESG Investments (Intermediate - OPEN) 10:15 AM - 11:15 AM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1b. ALL LAB – Managing Conflicts of Interest and Employee Reporting Obligations (Intermediate - CLOSED) 10:15 AM - 11:15 AM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1c. BD LAB – Best Practices for Testing, Supervision, and Surveillance (Intermediate - CLOSED) 10:15 AM - 11:15 AM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1d. BD – Interaction with the FINRA MAP Group on Rule 1017 (Intermediate - OPEN) 10:15 AM - 11:15 AM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1e. IA/PF – Regulatory Filings: Requirements, Pitfalls and Best Practices (Intermediate - OPEN) 10:15 AM - 11:15 AM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1f. IA/IC/PF – Cybersecurity Risk Management (Intermediate - OPEN) 10:15 AM - 11:15 AM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1g. IA/PF - Annual Review of Policies and Procedures (Basic - OPEN) 10:15 AM - 11:15 AM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2a. ALL - Building your Compliance Team (Intermediate - OPEN) 11:30 AM - 12:30 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2b. BD – Cybersecurity Risk Management (Intermediate - OPEN) 11:30 AM - 12:30 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2c. BD LAB – Preparing for BD Regulatory Examinations (Intermediate - CLOSED) 11:30 AM - 12:30 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2d. BD/IA - Due Care and Investment Advice: Confluence of Duties of Care? (Advanced - OPEN) 11:30 AM - 12:30 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2e. IA/IC/PF LAB – Preparing for SEC Regulatory Examinations (Intermediate - CLOSED) 11:30 AM - 12:30 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2f. PF – Performance Presentations in Fund Marketing (Intermediate - OPEN) 11:30 AM - 12:30 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2g. BD/IA - Dual Registrants Talk Group (Small to Medium Firms) - (CLOSED) 11:30 AM - 12:30 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2h. BD/IA - Dual Registrants Talk Group (Large Firms) - (CLOSED) 11:30 AM - 12:30 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 Luncheon & NSCP Business Meeting (OPEN) 12:30 PM - 1:30 PM Read More
