Small to
Mid-Size Broker-Dealers
Build a better business with NRS solutions.
Achieve more...more efficiently.
NRS delivers "just right" technology solutions for small to mid-size broker-dealers.
Small to mid-size broker-dealers face the same regulatory requirements as large firms, but without the benefits of their resources and economies of scale. They struggle with incompatible products from multiple vendors, conflicting advice and an inability to efficiently track and monitor compliance activities.
Designed with your business in mind, ComplianceMAX SMB™ provides your firm with all of the functionality of an enterprise compliance system without the cost or complexity.
Gain valuable efficiencies every day as this powerful technology solution enables you to consolidate all of your registered representative data and compliance activities through a single web-based compliance workstation, manage your monthly compliance calendar, assign and track firm element training, manage annual disclosures and conduct audits.
With ComplianceMAX SMB™, you have total control over your compliance program because you manage the system. Maintain your hierarchy of branches and users, and schedule compliance assignments with just a few mouse clicks. Powerful reports keep you informed and compliance workflow queues allow you to "manage by exception."
Many technology options. All focused on solutions.
Build a better business with NRS solutions.
Achieve more...more efficiently.
NRS delivers "just right" technology solutions for small to mid-size broker-dealers.
Small to mid-size broker-dealers face the same regulatory requirements as large firms, but without the benefits of their resources and economies of scale. They struggle with incompatible products from multiple vendors, conflicting advice and an inability to efficiently track and monitor compliance activities.
Designed with your business in mind, ComplianceMAX SMB™ provides your firm with all of the functionality of an enterprise compliance system without the cost or complexity.
Gain valuable efficiencies every day as this powerful technology solution enables you to consolidate all of your registered representative data and compliance activities through a single web-based compliance workstation, manage your monthly compliance calendar, assign and track firm element training, manage annual disclosures and conduct audits.
With ComplianceMAX SMB™, you have total control over your compliance program because you manage the system. Maintain your hierarchy of branches and users, and schedule compliance assignments with just a few mouse clicks. Powerful reports keep you informed and compliance workflow queues allow you to "manage by exception."
Many technology options. All focused on solutions.
Whether you choose ComplianceMAX SMB™ or another NRS tool or
technology solution, you get the
benefits of leading industry and regulatory expertise and
methodologies, proven in practice at the largest firms.
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