Wednesday Holly Orefice 7/17/24 Wednesday Holly Orefice 7/17/24 NSCP Fun Run 5K (Run with Compliance, not against it) 6:00 am Read More Wednesday Meghan Flanagan 9/13/23 Wednesday Meghan Flanagan 9/13/23 Breakfast 7:30 AM - 9:00 AM Read More Wednesday, Keynote-Monday Meghan Flanagan 5/1/22 Wednesday, Keynote-Monday Meghan Flanagan 5/1/22 General Session: SEC Examination Leaders Forum (OPEN) 8:30 AM - 9:30 AM Read More Wednesday Meghan Flanagan 4/29/22 Wednesday Meghan Flanagan 4/29/22 9a. ALL - Compliance Considerations for Crypto Assets (Intermediate - OPEN) 9:45 AM - 10:45 AM Read More Wednesday Meghan Flanagan 4/28/22 Wednesday Meghan Flanagan 4/28/22 9b. BD - Regulation Best Interest: Where We Are Now (Intermediate - OPEN) 9:45 AM - 10:45 AM Read More Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 9c. BD/IA – Understanding the DOL Retirement Security Rule (Intermediate - OPEN) 9:45 AM - 10:45 AM Read More Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 9d. IA/IC/PF - Outsourcing to Service Providers (Intermediate - OPEN) 9:45 AM - 10:45 AM Read More Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 10a. ALL – Examining Ethics: Enforcement Actions and Lessons Learned (Advanced - OPEN) 11:00 AM - 12:00 PM Read More Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 10b. BD/IA - Identity Theft: Where Reg S-ID meets AML (Intermediate - OPEN) 11:00 AM - 12:00 PM Read More Wednesday Meghan Flanagan 4/6/22 Wednesday Meghan Flanagan 4/6/22 10c. IA - Marketers and Marketing Agreements (Intermediate - OPEN) 11:00 AM - 12:00 PM Read More Wednesday Meghan Flanagan 4/6/22 Wednesday Meghan Flanagan 4/6/22 10d. BD/IA - Evaluating Enforcement Risk When Deficiencies or Violations are Identified (Intermediate - OPEN) 11:00 AM - 12:00 PM Read More
Wednesday Holly Orefice 7/17/24 Wednesday Holly Orefice 7/17/24 NSCP Fun Run 5K (Run with Compliance, not against it) 6:00 am Read More
Wednesday Meghan Flanagan 9/13/23 Wednesday Meghan Flanagan 9/13/23 Breakfast 7:30 AM - 9:00 AM Read More
Wednesday, Keynote-Monday Meghan Flanagan 5/1/22 Wednesday, Keynote-Monday Meghan Flanagan 5/1/22 General Session: SEC Examination Leaders Forum (OPEN) 8:30 AM - 9:30 AM Read More
Wednesday Meghan Flanagan 4/29/22 Wednesday Meghan Flanagan 4/29/22 9a. ALL - Compliance Considerations for Crypto Assets (Intermediate - OPEN) 9:45 AM - 10:45 AM Read More
Wednesday Meghan Flanagan 4/28/22 Wednesday Meghan Flanagan 4/28/22 9b. BD - Regulation Best Interest: Where We Are Now (Intermediate - OPEN) 9:45 AM - 10:45 AM Read More
Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 9c. BD/IA – Understanding the DOL Retirement Security Rule (Intermediate - OPEN) 9:45 AM - 10:45 AM Read More
Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 9d. IA/IC/PF - Outsourcing to Service Providers (Intermediate - OPEN) 9:45 AM - 10:45 AM Read More
Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 10a. ALL – Examining Ethics: Enforcement Actions and Lessons Learned (Advanced - OPEN) 11:00 AM - 12:00 PM Read More
Wednesday Meghan Flanagan 4/7/22 Wednesday Meghan Flanagan 4/7/22 10b. BD/IA - Identity Theft: Where Reg S-ID meets AML (Intermediate - OPEN) 11:00 AM - 12:00 PM Read More
Wednesday Meghan Flanagan 4/6/22 Wednesday Meghan Flanagan 4/6/22 10c. IA - Marketers and Marketing Agreements (Intermediate - OPEN) 11:00 AM - 12:00 PM Read More
Wednesday Meghan Flanagan 4/6/22 Wednesday Meghan Flanagan 4/6/22 10d. BD/IA - Evaluating Enforcement Risk When Deficiencies or Violations are Identified (Intermediate - OPEN) 11:00 AM - 12:00 PM Read More
