ComplianceGuardian

Thank you for your interest in the New and Improved ComplianceGuardian(TM) for Investment Advisers and Broker-Dealers. Please fill out the form below and an NRS representative will contact you within 24 hours.
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Product

Securities Exam Prep: No-Pass, No-Pay Guarantee

Securities Industry Essentials (SIE) Exam ● Series 6 ● Series 7 ● Series 63 ● Series 65 ● Series 66 Who do you trust to help you pass your FINRA/NASAA exams? We know there are plenty of securities exam preparation providers out there. At NRS Securities Exam Prep, we are so confident in our industry-leading […]
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August 7 2019 - NRS Insights

Use NRS Securities Exam Prep with Confidence: No-Pass, No-Pay Guarantee!

NRS Securities Exam Prep is an industry-leading program with a NO-PASS, NO-PAY Guarantee. Complete our program, achieve green light status and pass the Series 6, Series 7, Series 63, Series 65 or Series 66 exam confidently!
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July 26 2019 - NRS Insights

OCIE Risk Alert

On July 23, 2019 the Office of Compliance Inspections and Examinations (“OCIE”) published a Risk Alert sharing the staff’s observations from its examinations conducted during the Supervision Initiative launched in 2017.
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July 16 2019 - Resource

What the SEC Releases Require you do Ahead of Reg BI

This webinar explains how the SEC’s two new interpretive releases, which go into effect upon publication in the Federal Register, may require immediate changes in your compliance program.
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Boston Investment Adviser Compliance Symposium

Please fill out the form below and an NRS Representative will contact you about special pricing
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Urgent: What the SEC releases require you to do ahead of RegBI

July 11, 2019 – 1PM EDT: Complimentary NRS Webinar By completing and submitting this registration form, you will be enrolled in NRS’ Complimentary 30 minute webinar. This webinar explains how the SEC’s two new interpretive releases, which go into effect upon publication in the Federal Register, may require immediate changes in your compliance program. Investment […]
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July 11, 2019 - Event

Urgent: What the SEC releases require you to do ahead of RegBI

On June 5 the SEC issued adopting releases for Reg BI and Form CRS, and also issued two interpretive releases outlined below: The meaning of “fiduciary” as applied to the Advisers Act; The meaning of “solely incidental” when distinguishing brokerage and advisory services While most attention has been directed to Reg BI and Form CRS, […]
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June 21 2019 - NRS Insights

Embrace These Tough Love Learning Strategies and Leave your Highlighter at Home!

A recent report published by the Association for Psychological Science (APS) identified some of the most, and least, effective learning strategies.
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Urgent: What the SEC releases require you to do ahead of RegBI

July 11, 2019 – 1PM EDT: Complimentary NRS Webinar By completing and submitting this registration form, you will be enrolled in NRS’ Complimentary 30 minute webinar. This webinar explains how the SEC’s two new interpretive releases, which go into effect upon publication in the Federal Register, may require immediate changes in your compliance program. Investment […]
Find out more