Master compliance with greater confidence.
For Investment Advisers
Compliance strategy delivered by experts in the financial services industry.
Proven experience to guide you through regulatory and compliance issues.
For Hedge Fund Managers
Practical solutions to complex compliance and registration questions.
For Investment Companies
Manage compliance issues with greater confidence and confidentiality.
June 4 – 6, 2019
NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.
SEC Regulation Best Interest: Ready or Not, Here it Comes!
Just over one year has passed since the SEC proposed Regulation Best Interest (Reg BI) in April 2018. The SEC has stated that it hopes to have the regulation finalized by the end of September 2019. Although it’s anyone’s guess what the final regulation will look like…
FINRA Guidance on Customer Communications
This summary discusses the guidance FINRA has provided through Regulatory Notice 19-10 regarding communications firms should have with their clients when a registered representative departs through resignation or termination.