Product

Certified Financial Planners Education

As a CFP® Board CE Qualified Partner, NRS provides a comprehensive selection of practical compliance education designed to inform and ensure that staff members at investment advisers and broker dealers stay up to date on their certification. The CFP® certification identifies professionals who have met the high standards of competency and ethics established and enforced […]
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Product

Certified Financial Planners Education

As a CFP® Board CE Qualified Partner, NRS provides a comprehensive selection of practical compliance education designed to inform and ensure that staff members at investment advisers and broker dealers stay up to date on their certification. The CFP® certification identifies professionals who have met the high standards of competency and ethics established and enforced […]
Find out more
Product

Conferences

Spring and Fall Compliance Conferences For decades the NRS Spring and Fall Compliance Conferences have formed the cornerstone of NRS Education Solutions. They provide a comprehensive view of the current regulatory landscape, discuss the latest regulatory changes and provide strategies for workable, effective compliance programs. Sessions provide compliance professionals with insights and tools that transform […]
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NRS Partnership Program

Welcome Chalice Visitors Gain compliance confidence by making 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 […]
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August 20, 2019 - Event

Meeting the Cybersecurity Compliance Challenge

As the industry’s widespread focus on information breaches and risks associated with data protection continues, the SEC and FINRA made it clear in their examinations that cybersecurity is a priority.
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February 12 2019 - NRS Insights

Ready for the Regulators’ Next AML Scrutiny?

Regulatory concern about money-laundering activity is only increasing, and financial institutions are pumping more and more money and human resources into maintaining adequate compliance programs to avoid sanction.
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August 22, 2019 - Event

Global Investment Performance Standards (GIPS®) for Investment Advisers

This course is designed to provide an overview of the Global Investment Performance Standards (GIPS®)
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Blog SIE
February 1 2019 - NRS Insights

Demystifying the New SIE Exam

Since FINRA’s Securities Industry Essentials (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 pointing to enrollment numbers and/or passing ratios.
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February 5, 2019 - Event

Test – Event Series

Test
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March 6, 2019 - Event

Test – Event Series

Test
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