Investment Adviser Policies and Procedures Manual

Whether you are state or federally registered, NRS offers a manual that can be customized for your needs.

Now online, both the State and Federal versions of the manual include such features as:

A customization tool in which you answer questions about your firm and business practices. Those answers will be utilized to create a custom manual.

Sample Firm Policies, written by NRS and are created based on the answers in the completed profile. In addition, the firm can add more specific information whenever necessary using the Administration tools.

The Procedures section provides sample procedures for a firm to edit to include their own requirements.

A Regulatory Reference section is available from any point in the manual for more specific regulatory information.

The ability to add an unlimited number of users to the online manual and to track usage by users.

In addition, NRS provides an e-mail tool with several email templates for firms to use such as a Compliance Alert template which can be used by the Administrator to notify employees of policy or procedural changes. A firm can add any number of other templates.

This sophisticated online manual tool allows firms to archive their manuals at any time. Once archived, firms continue to have access to that manual in a read-only format.

The NRS Updating Service is included free for the first year and can be purchased separately after the first year. These updates will be provided within the manual, highlighted so that you can easily access the changes, however, the firm-specific content will never be overwritten. Instead, this system will alert the firm to a changed section and allow the user to decide which version to use or the firm can edit the section incorporating any new material.