RIA Compliance and
Legal Strategies Conference
June 5, 2025
Stark & Stark
100 American Metro Blvd., Hamilton, NJ 08619
(Only one hour from Philadelphia and Newark Airports, with train option from Newark to Hamilton Station outside of our office)
Remote Option Available
Check In: 8:30 AM - 9:00 AM
Seminars: 9:00 AM - 4:15 PM
Networking & Cocktails: 4:15 PM - 6:00 PM
5 NASAA IAR (Products and Practices) and CE credits, only $125!*
Reserve Your Seat Today!
The RIA Compliance and Legal Strategies Conference is back at our offices in Hamilton, NJ. The Conference is an essential event for RIAs and IARs to gain a valuable understanding of current regulatory and compliance-related issues. Attendees will earn 5 NASAA IAR (Products and Practices) and CE credits.
Registered investment advisers will gain a valuable insight on pertinent legal and compliance topics, including:
- SEC exam priorities
- Successfully navigating an SEC exam
- Client texting/social media policies and procedures
- Compliant disclosure and use of sub-advisers
- Marketing Rule compliance
- Appropriate use of testimonials, endorsements, and third-party ratings/rankings
- The importance of good client agreements, including the SEC focus on hedge clauses
- Updated cybersecurity topics
- Regulation S-P compliance
- Protecting client data
- Compliance Calendar recommendations (daily, weekly, monthly, quarterly, and annual compliance tasks)
- Form N-PX compliance
- Protecting clients from elder abuse or financial exploitation
You will leave with a wealth of knowledge and practical strategies to help you navigate the complex regulatory and legal landscape. Don't miss this opportunity to gain a competitive edge and meet with your compliance team at Stark & Stark – register today!
Continental Breakfast and Lunch provided. Networking Reception will follow.
Please note: The Hamilton Conference IAR and CFP courses and credits are identical to the courses offered at the September 24 Washington DC Conference. Attendees who received credits at the DC Conference will not receive credit for courses completed at the Hamilton Conference.
*Refund policy at the bottom of the page.
-
Speakers
Topic #1 TBD
9:00am - 10:00am
Presented by:
TBD
Topic #2 TBD
10:15am - 11:15am
Presented by:
TBD
Topic #3 TBD
11:30am - 12:30pm
Presented by:
TBD
Lunch
12:30pm - 2:00pm
Topic #4 TBD
2:00pm - 3:00pm
Presented by:
TBD
Topic #5 TBD
3:15pm - 4:15pm
Presented by:
TBD
Networking & Cocktails
4:15pm - 6:00pm
Frequently Asked Questions
How many credits can I receive for attending the Conference?
We anticipate receiving approval for 5 IAR Products and Practices credits and CFP credits.
Am I responsible for reporting my attendance for credit?
No. The team at Stark & Stark will notify the appropriate entities of your attendance and credits.
What is the deadline to complete IAR CE credits?
IARs who are registered in states that have adopted IAR CE credits are required to complete twelve total credits by December 31, 2024, and by December 31 annually thereafter. Please review the NASAA FAQ for additional details on the courses that must be completed annually.
What states require CE credits?
As of July 30, 2024, a total of 19 states and jurisdictions have adopted IAR-level CE credit requirements. The list of jurisdictions can be found here.
Who does the IAR CE requirement apply to?
Per the NASAA FAQ: “Every investment adviser representative (IAR) registered with a jurisdiction that has adopted the model rule is subject to its CE requirements. The program applies to all registered IARs of both state-registered and federal covered investment advisers in that jurisdiction. A common misconception is that the requirement is triggered by where the IA firm is registered or notice filed. However, the requirement is applied based on where the IAR is registered regardless of where the IAR is domiciled or the firm is registered or notice filed.”
If I attend multiple Stark & Stark Conferences per year can I receive multiple rounds of credits?
It depends. Due to NASAA and Prometric guidelines, our courses are only approved to be taken once per IAR. You will only receive credit for attending one conference until a new curriculum is prepared. Stark & Stark generally holds 2-3 conferences per year. The course curriculum for Washington, DC 2024, Hamilton, 2024, and Spring 2025 (location TBA) are identical, so attending more than one will only fulfill five IAR CE credits.
If you have any general questions related to IAR CE credits, please review the NASAA FAQ which answers most questions. If you still have questions after reviewing the FAQ, please feel free to contact us at events@stark-stark.com.
Refund Policy
- Full Refund: Requests submitted at least 24 hours or more prior to the conference start date will receive a full refund of registration fees.
- No Refund: No refunds will be issued for requests submitted less than 24 hours before the conference start date or for no-shows.
- Refund Process: All refund requests must be submitted in writing to marketing@stark-stark.com and will be processed within 30 days of receipt. Requests must include the attendee’s full name, registration details, and reason for the refund request.
- Force Majeure: In the event that the conference is cancelled due to unforeseen circumstances (e.g., natural disasters, pandemics, etc.), registrants will receive a full refund of registration fees.