Industry Perspectives

Are you ready for AML Scruitiny?

Regulatory concern about money-laundering activity is only increasing, and financial institutions are pumping money and human resources into maintaining adequate compliance programs.

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Blog SIE

Demystifying the New SIE Exam

Since FINRA’s SIE Exam was introduced last year, FINRA has held its cards close to its chest, electing to hold on to a lot of the data on enrollment numbers and/or passing ratios.

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