Contact us about Reg BI Disclosures
Thank you for your interest in ComplianceGuardian™ Reg BI Disclosures Tool. Please fill out the form below and an NRS representative will contact you within 24 hours.
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Fall 2021 Compliance Conference Pre-Registration
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March 25 2020 - NRS Insights
SEC Extends ADV and PF Filing Deadlines and Eases Requirements for Advisers Impacted by COVID-19
On March 25 the SEC announced that it is further extending required filing and delivery deadlines for investment advisers whose ability to make timely filings has been affected by the coronavirus.
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March 24 2020 - NRS Insights
Compliance Considerations during the COVID-19 Crisis
NRS offers the following suggestions for how compliance officers may respond to the unique challenges we are all facing in the current Coronavirus pandemic.
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May 17 – 20, 2021 - Event
NRS Spring 2021 Compliance Conference
Join NRS at our Spring 2020 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.
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Spring 2021 Compliance Conference Pre-Registration
Sign up here to be the first to be notified when registration for the Spring Conference opens.
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February 19 2020 - Resource
Regulation Best Interest Examinations are Coming
Download our Reg BI whitepaper to fully understand what you need to do to ensure that you stay in compliance and are able to face a regulatory examination with confidence.
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Program Requirements
The IACCP Program coursework consists of 17 required compliance courses, 3 electives, 2 years of work experience, submission of the ethics commitment and assessment, and the certifying examination. Required Compliance Education – 17 (2 hour) courses Advisers Act (Six Required Courses) AA01: Introduction to the Advisers Act: Framework; Registration, Exclusions and Exemptions; Exempt Reporting Advisers; […]
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State to SEC transition
Foster Compliance Confidence Considerable work is required to make the transition from State registration to SEC. SEC rule 203A-1(b)(2) provides an outline of what makes a firm eligible for SEC registration, and there are many challenges associated with navigating the nuances of what needs to be done to achieve the transition while staying in compliance. […]
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August 4 – 6, 2020 - Event
East Coast Investment Adviser Core Compliance Program Symposium
NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.
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