ComplianceMAX and FIRE Continuing Education Business to be Acquired by RegEd.
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NRS Spring 2021 Virtual Compliance Conference
May 17-20, 2021
Join NRS Spring 2021 Compliance Conference where industry experts will address how investment adviser and broker-dealer firms can successfully navigate the disruptive currents of regulatory change and adapt procedures to compliance programs.
Upcoming Events
Industry Perspectives
SEC Division of Examinations Will Conduct More Focused Reg BI Examinations Beginning January 2021
Almost six months since Regulation Best Interest’s compliance date, the Division of Examinations (“Division”) (formerly the “OCIE”) announced its intent to begin conducting more focused examinations for compliance with Reg. BI in January 2021.
2020 Evolution Revolution Report
With the Investment Adviser Industry continuing to see record growth in 2020, this Evolution Revolution Report provides a preview for the future growth and recovery of an industry that is vital for investors, the economy and capital markets.
