Regulatory Register

Stay on top of SEC, NASD, MSRB, state and other regulatory changes and requirements with NRS’ Regulatory Register online news source.

Changes in rules, SEC and NASD interpretations, areas of heightened regulatory review, pending legislation, proposed rule amendments, pertinent Q&As, and regulatory sanctions/findings are all covered in NRS’ monthly newsletter, Regulatory Register. Send questions and select answers are posted.

Written in easy to read, plain English, by NRS compliance experts and outside industry professionals, a thorough monthly review of Regulatory Register can help firms reduce regulatory exposure. Search feature gives you access to past regulatory register articles to cut down on research time.

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