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2018 NSCP National Conference
| Session Name | CPE Field of Study | Credits |
| 1a. IA/IC/PF Regulatory Review Panel (OPEN) | Regulatory Ethics –Technical | 1.5 |
| 1b. ALL – Best Practices for Managing a Global Compliance Program (Advanced) | Regulatory Ethics –Technical | 1.5 |
| 1c. BD/MA – Regulatory Notices: The Year in Review | Regulatory Ethics –Technical | 1.5 |
| 1d. IA/IC – Keeping Current on GIPS Standards | Auditing –Technical | 1.5 |
| 1e. BD/MA – Conflicts of Interest and Employee Reporting Requirements Lab (Fundamental) | Regulatory Ethics –Technical | 1.5 |
| 1f. BD – Field Audit Program Forum | Auditing – Technical | 1.5 |
| 1g. ALL – Canadian Compliance Forum | Regulatory Ethics –Technical | 1.5 |
| 2a. MA – Regulatory Review Panel (OPEN) | Regulatory Ethics –Technical | 1 |
| 2b. PF/PE – Lessons Learned from Key Enforcement Actions | Regulatory Ethics –Technical | 1 |
| 2c. ALL – The Evolution of Fiduciary Standard Rule | Regulatory Ethics –Technical | 1 |
| 2d. IA/IC/PF – 2018 Regulatory Priorities & Best Practices | Regulatory Ethics –Technical | 1 |
| 2e. BD – Regulatory Exams: Best Preparation (Fundamental) | Regulatory Ethics –Technical | 1 |
| 2f. ALL – Risk Identification & Creating a Risk Matrix Lab (Fundamental) | Management Services - Technical | 1 |
| 2g. ALL – New & Prospective NSCP Members Talk Group | N/A | 1 |
| 3a. IA/IC Enforcement Issues (OPEN) | Regulatory Ethics –Technical | 1.5 |
| 3b. ALL – Behavioral Ethics & Conduct Risks | Regulatory Ethics –Technical | 1.5 |
| 3c. BD/MA – 2018 Regulatory Priorities & Best Practices | Regulatory Ethics –Technical | 1.5 |
| 3d. All – Business Continuity & Disaster Recovery – Lessons Learned from Recent Disasters | Information Technology - Technical | 1.5 |
| 3e. ALL – Testing the Written Policies & Procedures Lab (Fundamental) | Auditing – Technical | 1.5 |
| 3f. IA/PF – Q&A with the NFA Forum (OPEN) | Regulatory Ethics –Technical | 1.5 |
| 3g. ALL - Due Diligence of Vendors Talk Group | N/A | 1.5 |
| 4a. BD – Regulatory Review Panel (OPEN) | Regulatory Ethics –Technical | 1.5 |
| 4b. ALL – Emotional Intelligence and Interpersonal Skills to Boost Your Clout | Personal Development – Non-Technical | 1.5 |
| 4c. BD/IA —What You Don’t Know Can Hurt You—State Rules Affecting Federally Registered Firms | Regulatory Ethics –Technical | 1.5 |
| 4d. IA/IC/PF – Regulatory Exams: Best Preparation (Fundamental) | Regulatory Ethics –Technical | 1.5 |
| 4e. ALL – When Legal and Ethical Considerations Collide Lab (Advanced) | Regulatory Ethics –Technical | 1.5 |
| 4f. MA – Small Firm Issues Forum | Regulatory Ethics –Technical | 1.5 |
| 4g. IA/PF – Challenges for Small Firms Talk Group | N/A | 1.5 |
| 5a. BD – Technology Governance (OPEN) | Regulatory Ethics –Technical | 1.5 |
| 5b. ALL – The Basics of Blockchain, Initial Coin Offerings & Cryptocurrencies (Fundamental) | Information Technology - Technical | 1.5 |
| 5c. ALL – Electronic Communications & Social Media | Information Technology - Technical | 1.5 |
| 5d. IA/IC – Trading Compliance Issues | Regulatory Ethics –Technical | 1.5 |
| 5e. IA/PF – Records Management Lab (Advanced) | Management Services - Technical | 1.5 |
| 5f. Public Pension Funds Forum: Personal Securities Trading, Gifts and other Conflicts of Interest | Regulatory Ethics –Technical | 1.5 |
| 5g. ALL – Buying Data: Compliance Protocols Forum | Information Technology - Technical | 1.5 |
| 6a. IA/IC/PF – SEC Insight on Technology & Cybersecurity (OPEN) | Information Technology –Technical | 1 |
| 6b. ALL - Navigating the Privacy Landmines | Regulatory Ethics –Technical | 1 |
| 6c. ALL – Influential RegTech Companies | Information Technology - Technical | 1 |
| 6d. ALL – Technology Trends in Risk Management for Medium to Large Firms | Management Services - Technical | 1 |
| 6e. BD – Remote Auditing Forum | Auditing - Technical | 1 |
| 6f. BD – Trading Firm Issues Talk Group | N/A | 1 |
| 6g. MA – Exam Prep & Best Practices Talk Group | N/A | 1 |
| 7a. BD – Enforcement Issues (OPEN) | Regulatory Ethics –Technical | 1.5 |
| 7b. ALL – Understanding Your Firm’s Technology Program | Information Technology - Technical | 1.5 |
| 7c. ALL – FinTech Companies and You | Information Technology - Technical | 1.5 |
| 7d. ALL – Cybersecurity for Small to Mid-Size Firms | Information Technology - Technical | 1.5 |
| 7e. IA/PF – Conflicts of Interest & Employee Reporting Requirements Lab (Fundame | Regulatory Ethics –Technical | 1.5 |
| 7f. IA/IC/PF – Valuation Forum | Accounting - Technical | 1.5 |
| 7g. MA – Compliance with New Rules Talk Group | N/A | 1.5 |
| 8a. ALL – Anti-Money Laundering Challenges & Opportunities | Regulatory Ethics –Technical | |
| 8b. ALL – How to Purchase and Implement Technology | Information Technology - Technical | 1.5 |
| 8c. ALL – Cryptocurrency: Personal Trading, Outside Business Activities & Private Securities | Regulatory Ethics –Technical | 1.5 |
| 8d. BD – Employee Personal Trade & Account Monitoring Lab | Regulatory Ethics –Technical | 1.5 |
| 8e. IA – Untangling Custody Responsibilities Forum (Advanced) | Regulatory Ethics –Technical | 1.5 |
| 8f. IA – Investment Companies as Clients Talk Group
8g. IA/PF - Insider Trading |
N/A
Regulatory Ethics - Technical |
1.5
1.5 |
| GS - BD/IA - The SEC's Proposed Regulation Best Interest
9a. BD – Understanding FINRA Qualification Examination Program & Continuing Educ |
Regulatory Ethics - Technical
Regulatory Ethics –Technical |
1
1 |
| 9b. ALL – This is Our Voice – Women in Compliance | Personal Development – Non-Technical | 1 |
| 9c. BD/IA – Creating Effective Supervision Structures (Large Firms) | Auditing – Technical | 1 |
| 9d. MA – Required Books and Records for Municipal Advisors | Regulatory Ethics –Technical | 1 |
| 9e. BD – Records Management Lab (Advanced) | Regulatory Ethics –Technical | 1 |
| 9f. IA/PF – Small Firms Forum | Personal Development – Non-Technical | 1 |
| 10a. ALL – Compliance in the Midst of Corporate Change, Mergers & Acquisitions | Regulatory Ethics –Technical | 1 |
| 10b. ALL – Human Resources & Compliance: Working Together for Maximum Effective | Personnel/Human Resources – Non-Technical | 1 |
| 10c. ALL – Investment Product Knowledge (Fundamental) | Specialized Knowledge - Technical | 1 |
| 10d. BD/IA – Managing Dual Registrant Requirements in a Demanding Regulatory Env | Regulatory Ethics –Technical | 1 |
| 10e. IA – When is an Advertisement Deemed to be Misleading? Lab | Communications and Marketing – Non-Technical | 1 |
| 10f. BD – Small Firms Forum | Regulatory Ethics –Technical | 1 |
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