Gain the knowledge you need to understand compliance challenges before deciding on the best course of action. NRS's white papers help you better understand the complex compliance landscape with in-depth analysis, guidance and perspective on compliance.
Evolution Revolution 2016
Evolution Revolution - 2015 Evolution Revolution Appendix - 2015
Customer Complaints Under FINRA 4530 Robo Advisers
Transactional Exemption Module Getting the Message Right
Securities Registration Management Personal Securities Compliance
Evolution Revolution - 2014 Broker-Dealer Registration
Managing OBA Risk Private Fund Marketing
When you sign up for our e-newsletter, you'll be the first to know about the latest events, news, and important articles about regulatory compliance.
RELX Group and the RE symbol are trademarks of Reed Elsevier Properties SA, used under license.