Interactive Compliance Labs for Broker-Dealers & Investment Advisers
at Troutman Pepper
New York City, NY
Wednesday, April 23, 2025

“NSCP

DESCRIPTION:

Join us for a full day of in-person lab sessions designed to provide real life application through hands-on learning activities. Attendees will learn from knowledgeable facilitators, engage in small group discussions, and share their thoughts and experiences through the use of case studies, group questions and hypothetical scenarios applicable to each session’s topic.  Attendees will leave with practical and useful tools to apply in their workspace. Enjoy a networking reception at the end of the day to wind down and connect with other compliance professionals. NSCP Interactive Compliance Labs are a great way to learn, engage and grow in your profession. This event is not available for virtual attendance and is closed to regulators and press.

REGISTRATION RATES:

$425 for NSCP Members

$595 for Non-members (Learn about becoming a NSCP Member)

DATE: Wednesday, April 23, 2025 (9:00 AM - 5:30 PM)

LOCATION: Troutman Pepper, 875 3rd Ave, New York, NY 10022

This event will be offered in person only with no virtual attendance option.

CONTINUING EDUCATION:
A Continuing Education (“CE”) Certificate of Attendance will be provided to attendees who participate in this event and verify their attendance for each session that they attend.

AGENDA: (agenda to be announced soon)

8:30 am – 9:30 am - Registration, Networking & Breakfast

9:30 am – 10:45 am - Session 1: 

10:45 am – 11:00 am - Break

11:00 am – 12:15 pm - Session 2:

12:15 pm – 1:00 pm - Lunch

1:00 pm – 2:15 pm - Session 3:

2:15 pm – 2:30 pm - Break

2:30 pm – 3:45 pm - Session 4:

3:45 pm – 5:00 pm - Reception

NEARBY HOTEL OPTIONS:

NSCP has not secured a room block for this event. Attendees should make their own hotel accommodations.