NRS ResourcesPLUS™
Sometimes a little help is not enough. You need to know that someone is there to support your compliance program; someone who knows compliance and understands your business.
ResourcesPLUS
Heightened regulatory scrutiny and numerous new regulations have resulted in compliance burdens that can be overwhelming to firms of all sizes. Broker-dealers are faced with amplified risks and increased costs. Hiring qualified personnel is one solution, but staffing is costly and can yield uncertain results. Improve compliance at your firm without adding staff: use ResourcesPLUS™ as the foundation of your compliance program.
In addition, we work on your behalf from behind the scenes to monitor your registration and licensing. To make certain the program is tailored to your specific needs, ResourcesPLUS™ includes up to one hour monthly of consulting services. ResourcesPLUS™ clients have an open line of communication with our experienced compliance specialists. Our ResourcesPLUS™ clients have all the depth and experience of a world class compliance staff at their fingertips.
ResourcesPLUS™ includes:
The heart of the ResourcesPLUS™ program is our proprietary monthly compliance modules. Each month we provide you with a list of compliance tasks that need to be performed as part of your ongoing commitment to compliance. The list includes tasks that we have completed, tasks to be performed by you, and others that we will work on together. Collectively, these tasks comprise a systematic compliance program which demonstrates your commitment to compliance.
CRD Maintenance & Amendments
Ongoing assurances of CRD filing accuracy is a requirement for broker-dealers. NRS consultants continuously monitor and maintain your CRD filing, drafting amendments for your review and submission as needed. This includes Form BD, U4 and U5 filings, so whether you are changing your business model or registering in a new state, NRS will keep your filings up to date.
Consultation
NRS consultants will be available for up to one hour of personalized consulting each month. This consultation may involve reviews of advertising, forms, or any specialized consultation. Remember, as a ResourcesPLUS™ client, our professional compliance consultants are available to you over the phone!
Monthly News
Every month we will provide you with unlimited access to RegulatoryRegister.com. RegulatoryRegister.com is an online news source devoted to analyzing compliance issues and providing best practice guidance that assists you with keeping your firm in compliance. It is written for compliance experts by compliance experts.
Web seminars on regulatory initiatives
For more information, please call NRS at 860-435-0200.
Sometimes a little help is not enough. You need to know that someone is there to support your compliance program; someone who knows compliance and understands your business.
ResourcesPLUS
Heightened regulatory scrutiny and numerous new regulations have resulted in compliance burdens that can be overwhelming to firms of all sizes. Broker-dealers are faced with amplified risks and increased costs. Hiring qualified personnel is one solution, but staffing is costly and can yield uncertain results. Improve compliance at your firm without adding staff: use ResourcesPLUS™ as the foundation of your compliance program.
In addition, we work on your behalf from behind the scenes to monitor your registration and licensing. To make certain the program is tailored to your specific needs, ResourcesPLUS™ includes up to one hour monthly of consulting services. ResourcesPLUS™ clients have an open line of communication with our experienced compliance specialists. Our ResourcesPLUS™ clients have all the depth and experience of a world class compliance staff at their fingertips.
ResourcesPLUS™ includes:
Monthly Compliance Modules
- Registration and licensing services (renewals and amendments)
- Up to one hour of professional compliance consulting per month
- Monthly Compliance Checklist
- Consultation services, reviews and periodic reports
- Monthly web seminar
The heart of the ResourcesPLUS™ program is our proprietary monthly compliance modules. Each month we provide you with a list of compliance tasks that need to be performed as part of your ongoing commitment to compliance. The list includes tasks that we have completed, tasks to be performed by you, and others that we will work on together. Collectively, these tasks comprise a systematic compliance program which demonstrates your commitment to compliance.
CRD Maintenance & Amendments
Ongoing assurances of CRD filing accuracy is a requirement for broker-dealers. NRS consultants continuously monitor and maintain your CRD filing, drafting amendments for your review and submission as needed. This includes Form BD, U4 and U5 filings, so whether you are changing your business model or registering in a new state, NRS will keep your filings up to date.
Consultation
NRS consultants will be available for up to one hour of personalized consulting each month. This consultation may involve reviews of advertising, forms, or any specialized consultation. Remember, as a ResourcesPLUS™ client, our professional compliance consultants are available to you over the phone!
Monthly News
Every month we will provide you with unlimited access to RegulatoryRegister.com. RegulatoryRegister.com is an online news source devoted to analyzing compliance issues and providing best practice guidance that assists you with keeping your firm in compliance. It is written for compliance experts by compliance experts.
Web seminars on regulatory initiatives
For more information, please call NRS at 860-435-0200.
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