NRS Complimentary Demo

NRS ComplianceGuardian™ RepTracker Demo August 19, 2021 – 4:00 PM EST Sign up for our complimentary demo to learn more about managing Broker-Dealer licensing, registration and renewals through our RepTracker solution. After completing this demo, you should have insight into managing and aggregating data that is critical for compliance and supervision to registered representatives.
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October 27, 2021 - Event

Compliance Considerations in Responding to Diminished Capacity and Critically Ill

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October 27, 2021 - Event

Compliance Considerations in the Use of Solicitors and Endorsements

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October 28, 2021 - Event

Compliance Consideratios in Monitoring Electronic Communications

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October 28, 2021 - Event

Persistent Compliance Challenges with Mutual Fund Share Classes and Wrap Fee Programs

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October 27, 2021 - Event

Cybersecurity Program Resiliency Considerations in Access Rights and Data Loss Controls

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October 27, 2021 - Event

Cybersecurity Program Resiliency: Considerations in Vendor Management

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October 26, 2021 - Event

Keynote Address

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October 26, 2021 - Event

SEC Examinations of Investment Advisers – Process and Preparation

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October 25, 2021 - Event

Workshop A: Women in Compliance Roundtable: Diversity and Inclusion in Compliance

Coming soon
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