Regulatory Compliance E-newsletter – September / October 2018
Feature of the Month NRS Compliance Forum – New York Beginning in the Fall of 2011, the SEC’s Office of Compliance Inspections and Examinations began issuing alerts to help securities industry firms address certain risks associated with regulatory compliance. In many instances the basis of these alerts stemmed from National Exam Program observations of recurring […]
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NRS Partnership Program
Gain compliance confidence – make NRS your compliance partner through the NRS Partnership Program. The NRS Partnership Program provides you with: a dedicated compliance-professional consultant NRS provides access to a dedicated compliance-professional consultant who will conduct a thorough compliance review that will help you address gaps in your strategy and will stay with you to […]
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September 13 2018 - NRS Insights
The industry is bright for Investment Advisers
In case you have not heard, according to this year’s Evolution Revolution report released on September 6 by NRS and the IAA, the number of SEC-registered investment advisers continues to climb.
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September 6 2018 - Press release
IAA and NRS Study finds investment adviser profession a strong economic driver
Washington, DC/Lakeville, CT -
The 2018 Evolution Revolution report, published today, found the universe of SEC-registered investment advisers is on the rise and has hit record-highs this year in terms of number of advisers, aggregate regulatory assets under management (RAUM) and employment.
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September 6 2018 - Resource
Evolution Revolution 2018
The 2018 Evolution Revolution report is an annual joint study by the Investment Adviser Association (IAA) and National Regulatory Services (NRS), which is integrated with Accuity. The report offers the most comprehensive profile of SEC-registered investment advisers, containing data on 12,578 firms that manage $82.5 trillion for more than 34 million clients this year and employ more than 800,000 workers.
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Regulatory Compliance E-newsletter – July / August 2018
Feature of the Month OCIE issues Risk Alert on Best Execution On July 11, 2018, the Office of Compliance Inspections and Examinations (“OCIE”) issued a National Exam Program Risk Alert (“Risk Alert”) for compliance issues related to the obligation to seek best execution imposed upon investment advisers (“advisers”) granted the responsibility for selecting broker dealers […]
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July 30 2018 - NRS Insights
BDs to Benefit from FINRA360 Changes to Enforcement and Exam Process
As part of its continuing efforts to review and revamp the organization (i.e. FINRA360), FINRA has consolidated its enforcement units in order to streamline investigations, improve consistency and transparency and, ultimately, improve relationships with member firms.
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FIRE Drill Quiz App
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Series 7 and 66 Exam Prep
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