March 12, 2019 - Event

Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements

The SEC’s anti-fraud rules pursuant to Section 206 of the Investment Advisers Act of 1940 lay the regulatory foundation of the adviser’s relationship with its clients.
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February 26, 2019 - Event

SEC Examination and Enforcement Update for Investment Advisers

This course will speak to how the examination and enforcement culture has changed at the SEC, the new types of SEC exams, and how firms can prepare for them.
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January 29, 2019 - Event

Books and Records Requirements for Investment Advisers

Course Description: For the average investment adviser, the prospect of managing the administrative and compliance aspects of the daily operations of the firm can be daunting. This pressure is further multiplied by recent regulatory trends and enforcement actions. Given these trends, advisers need to be particularly concerned about the accuracy, quality, and completeness of the […]
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January 15, 2019 - Event

Form ADV Part 1: Annual Updating Amendment and More

Inaccurate and/or inadequate Form ADV disclosures are consistently cited in the SEC’s and many states’ list of “Top Deficiencies.”
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February 21, 2019 - Event

Explore FINRA 2019 Regulatory and Examination Priorities

Course Description coming soon
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January 24, 2019 - Event

Investment Adviser Performance and Advertising

Investment adviser advertising continues to be one of the top problem areas identified by the SEC.
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Regulatory Compliance E-newsletter – December 2018

Feature of the Month Are you prepared for the end of the year? With the fourth quarter coming to a close, we want to remind you that regulatory filings are critical to the management of your firm and to avoid non-compliant regulatory exposure. NRS can help by making sure you avoid missing critical filing deadlines […]
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New to Investment Adviser Compliance
December 13, 2018 - Event

New to Investment Adviser Compliance

Course Description: This course is custom-made for those who want a better understanding of the fundamentals of investment adviser compliance. Whether you are contemplating a compliance position or have recently assume a role in compliance, this course will help introduce the structure of the SEC, federal and state investment adviser regulation, and key issues and […]
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Best Execution Compliance Issues – SEC Risk Alert Review
December 18, 2018 - Event

Best Execution Compliance Issues – SEC Risk Alert Review

Course Description: How does an adviser determine if it is obtaining best execution? Each firm must determine the answer for itself based on a variety of objective and subjective criteria. During this course our instructors will review the July 11, 2018 Risk Alert and take a deep dive into the factors that constitute best execution […]
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Investment Adviser Registration

Registering as an Investment Adviser with the SEC or state regulators is increasingly complex. Completing the required registration documents requires time and expertise — whether you are a sole proprietor opening your own firm or a billion dollar private fund that is no longer considered exempt. There is no reason to do it alone. NRS […]
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