| 2012 |
|
| Month |
Event |
| |
|
| July |
|
| |
-
July 27, 2012
IA Workshop
Presented by the North Carolina Securities Division
10:00 a.m. – 2:00 p.m.
North Carolina Securities Division – Large Conference Room
4701 Atlantic Avenue, Suite 116
Raleigh, NC 27604
Registration Details
|
| April |
|
| |
- April 26, 2012
IA Switch Seminar
Presented by the Michigan Securities Division
8:30 a.m. – noon (for current state-registered IAs)
1 p.m. – 4:30 p.m. (for IAs transitioning from SEC to state)
Lansing Community College – West Campus
5708 Cornerstone Dr.
Lansing, MI
Details
|
| March |
|
| |
- March 22, 2012
Transition Workshop
Presented by the D.C. Dept. of Insurance, Securities and Banking
(DISB)
9 a.m. – noon
DISB
810 First St NE, 7th Floor Large Conference Room
Washington, DC
Registration Information | Agenda
|
| January |
|
| |
- January 31, 2012
Investment Adviser Training Conference
Presented by the Massachusetts Securities Division
8:30 a.m. – 12:30 p.m.
Best Western Royal Plaza Hotel and Trade Center
Marlborough, MA
Details
|
| |
- January 23, 2012
IA Switch Presentation
Presented by the New Jersey Bureau of Securities
10:30 a.m. and 1 p.m.
Rutgers University
Busch Campus Center
604 Bartholomew Road
Piscataway, NJ 08854
Register by e-mail by January 6*
*Please indicate a.m. or p.m. session
|
| |
|
| 2011 |
|
| Month |
Event |
| |
|
| December |
|
| |
- December 19, 2011
The Switch Seminar
Presented by the Colorado Division of Securities
2 p.m. – 4 p.m.
Civic Center Plaza Building
1560 Broadway
Denver, CO
Details
- December 13, 2011
The Switch Seminar
Presented by the Colorado Division of Securities
2 p.m. – 4 p.m.
Civic Center Plaza Building
1560 Broadway
Denver, CO
Details
- December 12, 2011
The Switch Seminar
Presented by the Colorado Division of Securities
2 p.m. – 4 p.m.
Civic Center Plaza Building
1560 Broadway
Denver, CO
Details
- December 8, 2011
Outreach Seminar for Investment Advisers
Presented by the Maryland Division of Securities,
Office of the Attorney General
10 a.m. – 1 p.m.
George Howard Building
3430 Court House Drive
Ellicott City, MD 21043
Banneker Room
Registration Information
- December 8, 2011
IA “Switch” Workshop
Presented by the Nebraska Department of Banking
and Finance Bureau of Securities
1:00 p.m. to 2:30 p.m.
Nebraska Department of Banking and Finance
Commerce Court Building
Suite 400
1230 O Street
Lincoln, NE
For more information: (402) 471-3445
- December 7, 2011
The Switch Seminar
Presented by the Colorado Division of Securities
2 p.m. – 4 p.m.
Civic Center Plaza Building
1560 Broadway
Denver, CO
Details
- December 5, 2011
The Switch Seminar
Presented by the Colorado Division of Securities
2 p.m. – 4 p.m.
Civic Center Plaza Building
1560 Broadway
Denver, CO
Details
- December 2, 2011
The Switch Seminar
Presented by the Colorado Division of Securities
2 p.m. – 4 p.m.
Civic Center Plaza Building
1560 Broadway
Denver, CO
Details
- December 1, 2011
“Switching” Investment Advisor Workshop
Presented by the Ohio Division of Securities
10:00 a.m.
Verne Riffe Center
77 S. High Street
Columbus, OH 43215
31st Floor (South B & C conference rooms)
Registration Information
- December 1, 2011
IA “Switch” Workshop
Presented by the Nebraska Department of Banking
and Finance Bureau of Securities
1:00 p.m. to 2:30 p.m.
Omaha State Office Building
Room 233J
1313 Farnam Street
Omaha, NE
For more information: (402) 471-3445
|
| November |
|
| |
- November 16, 2011
The Big Switch
Presented by the Wisconsin Department of Financial Institutions
Division of Securities
8:30 a.m. – 12:30 p.m.
345 West Washington Avenue
Madison, WI
Registration Information
- November 16, 2011
Investment Adviser Workshop
Regulatory Requirements for DC Licensed IAs
Presented by Washington, DC
Department of Insurance, Securities & Banking
8:30 am – 12:30 pm
One Judiciary Square
441 Fourth Street, NW, Room 1114 South
Washington, DC 20001
More Details
Registration Information
|
| August |
|
| |
- August 24, 2011
IA Switch Seminar
Presented by the Alabama Securities Commission
10 a.m.
Alabama Center for Commerce Auditorium
401 Adams Avenue, Suite 770 (7th Floor)
Montgomery, AL 36104
Registration Information
|
| |
|
| May |
|
| |
- May 19, 2011
IA Orientation
Presented by the Ohio Division of Securities
10:30 a.m.
Carew Tower
36th Floor conference room
441 Vine Street
Cincinnati, OH 45202
Registration Information
|
| April |
|
| |
- April 20, 2011
IA Orientation
Presented by the Ohio Division of Securities
10:30 a.m.
Frank J. Lausche State Office Building
2nd Floor Auditorium
1:30PM to 4:00 PM615 West Superior Avenue
Cleveland, OH 44113
Registration Information
|
| |
- April 7, 2011
Investment Adviser Workshop
Presented by the North Carolina Securities Division
10 a.m. to 2 p.m.
Small Business Center
Forsyth Technical Community College
Chamber Building
601 West 4th Street, Suite 105
Winston-Salem, NC 27101
Registration Information
|
| March |
|
| |
- March 31, 2011
IA Switch Conference
Presented by the Indiana Securities Division
1:30 p.m. to 4:00 p.m.
Indiana Government Center South Auditorium
302 W. Washington St.
Indianapolis, IN 46204
Registration Information
|
| |
- March 29, 2011
Investment Adviser Town Meeting
Presented by the Kentucky Securities Division
9:30 a.m. to 12:30 p.m.
Green River Area Development District
3860 Highway 60 West
Owensboro, KY 42301
Registration Information
|
| |
- March 22, 2011
Investment Adviser Town Meeting
Presented by the Kentucky Securities Division
9:30 a.m. to 12:30 p.m.
Kentucky Society of Certified Public Accountants
1735 Alliant Avenue
Louisville, KY 40299
Registration Information
|
| |
- March 21, 2011
IA Switch Seminar
Presented by the Michigan Securities Division
8:30 a.m. to 12 p.m.
(recommended for current state-registered IAs)
1 p.m. to 4:30 p.m.
(recommended for IAs transitioning from SEC to state registration)
MSU Management Education Center
Eli Broad Graduate School of Management
811 W. Square Lake Road, Room 106
Troy, Michigan 48098
Registration Information
|
| |
- March 21, 2011
IA Switch Seminar
Presented by the Michigan Securities Division
8:30 a.m. to 12 p.m.
(recommended for current state-registered IAs)
1 p.m. to 4:30 p.m.
(recommended for IAs transitioning from SEC to state registration)
Lansing Community College West Campus
5708 Cornerstone Drive
Lansing, MI
Registration Information
|
| |
- March 21, 2011
IA Switch Seminar
Presented by the Michigan Securities Division
8:30 a.m. to 12 p.m.
(recommended for current state-registered IAs)
1 p.m. to 4:30 p.m.
(recommended for IAs transitioning from SEC to state registration)
Grand Valley State University
301 Michigan St NE
Grand Rapids, MI
Registration Information
|
| |
- March 18, 2011
IA Orientation
Presented by the Ohio Division of Securities
10:00 a.m.
Verne Riffe Center for Government and the Arts
31st Floor South B and C conference rooms
77 S. High Street
Columbus, OH 43215
Registration Information
|
| |
- March 16, 2011
Investment Adviser Town Meeting
Presented by the Kentucky Securities Division
9:30 a.m. to 12:30 p.m.
Northern Kentucky Area Development District
22 Spiral Drive
Florence, KY 41042
Registration Information
|
| |
- March 10, 2011
IA Switch Workshop
Presented by the Vermont Securities Division
12 p.m. to 4 p.m.
City Center, Third Floor
89 Main Street
Montpelier, VT
For more infomation: 802-828-4857
|
| |
- March 8, 2011
Investment Adviser Town Meeting
Presented by the Kentucky Securities Division
9:30 a.m. to 12:30 p.m.
Department of Financial Institutions
1025 Capital Center Drive, Suite 200
Frankfort, KY 40601
Registration Information
|
| January |
|
| |
- January 31, 2011
IA Workshop
Presented by the Nevada Securities Division
2:00 p.m. to 3:30 p.m.
Ren Washoe County Health District – South Conference Room B
1001 E. Ninth Street, Reno, NV 89520
Registration Information
|
| |
- January 28, 2011
IA Workshop
Presented by the Nevada Securities Division
2:00 p.m. to 3:30 p.m.
Grant Sawyer Building, Hearing Room 1100, 1st Floor
555 E. Washington Ave, Las Vegas, NV 89101
Registration Information
|
| 2010 |
|
| December |
|
| |
- December 17, 2010
IA Workshop
Presented by the North Carolina Securities Division
10 a.m. to 2:30 p.m.
Wake Technical Community College – Wester Wake Campus
3434 Kildaire Farm Road, Suite 200 in Room 118
Cary, NC 27518
Agenda & Registration
|
| |
- December 3, 2010
IA Workshop
Presented by the North Carolina Securities Division
10 a.m. to 2:30 p.m.
Wake Technical Community College – Wester Wake Campus
3434 Kildaire Farm Road, Suite 200 in Room 118
Cary, NC 27518
Agenda & Registration
|
| |
|
| November |
|
| |
- November 2, 2010
IA Workshop
Presented by the North Carolina Securities Division
10 a.m. to 2:30 p.m.
Central Piedmont Community College — Harris Campus
3216 CPCC Harris Campus Dr.
Charlotte, NC 28208
Agenda & Registration
|
| |
- November 1, 2010
Investment Adviser Workshop
Presented by the Utah Division of Securities
3 p.m. to 4:30 p.m.
Salt Lake City Main Library Auditorium
210 East 400 South
Salt Lake City, UT
Agenda & RSVP Information
|
| |
- November 1, 2010
IA Workshop
Presented by the North Carolina Securities Division
10 a.m. to 2:30 p.m.
Central Piedmont Community College — Harris Campus
3216 CPCC Harris Campus Dr.
Charlotte, NC 28208
Agenda & Registration
|
| October |
|
| |
- October 20 2010
IA Seminar
Presented by the Kansas Securities Commission
8:30 a.m. to 12:00 p.m.
Matt Ross Community Center
8101 Marty Street
Overland Park, KS 66204
Agenda/ Registration
|
