Compliance Alliance

A partnership assuring timely IARD filings and providing critical reminders throughout the year.

Regulatory filings are critical to the management of your firm and to avoid non-compliant regulatory exposure. Utilize NRS’ Compliance Alliance service to avoid missing critical deadlines.

· With information from you, NRS will administer the annual IARD renewals of state registrations for state advisers or notice filings for SEC advisers

· NRS will administer your firm’s annual IARD renewal of agent registrations

· After completing a questionnaire provided by NRS, we will make the electronic filing of your firm’s Annual Updating Amendment*

· Monthly email reminders of compliance requirements that are important for your firm will be sent by NRS.

Compliance Alliance takes the hassle out of remembering to file your amendments, agent registrations and state filings each year.

Meet Deadlines and IARD Filings with ease. Partner with NRS and purchase Compliance Alliance now for only $945.

For more information, contact NRS at (860) 435-0200.

*Includes only those Form ADV amendments that must be filed on the IARD on an annual basis per Form ADV instructions.

This service is only available to firms that file using the IARD.

© Copyright 2008. National Regulatory Services, a division of SourceMedia, Inc.