This course provides a comprehensive overview of securities regulation in Nevada, focusing on the role and authority of the Nevada Securities Division and its oversight of broker-dealers, investment advisers, and their representatives. Participants will gain a clear understanding of how the Division enforces state securities laws, conducts examinations, and promotes investor protection.
The course explores the full examination process, including its purpose, scope, and the types of records typically reviewed. It also covers potential post-examination outcomes and highlights practical best practices firms can implement to maintain compliance and reduce regulatory risk.
In addition, participants will be introduced to the North American Securities Administrators Association and its role in shaping consistent regulatory standards across jurisdictions. The course provides an overview of NRS 90 and NAC 90 and key regulatory requirements, including policies and procedures, recordkeeping obligations, ethical standards, advertising rules, custody considerations, and suitability requirements.
Common compliance violations are examined to help firms identify risk areas and strengthen internal controls. The course concludes with a discussion-based Q&A segment, reinforcing key concepts and addressing practical compliance questions.
Overall, this course equips participants with the knowledge and tools needed to navigate Nevada’s regulatory environment effectively while upholding the core principle of investor protection.