A Call to Action: What the New SEC Interpretive Releases Require You to Do NOW
June 27, 2019: Complimentary NRS Webinar By completing and submitting this registration form, you will be enrolled in NRS’ Complimentary 30 minute webcast. This program explains how the SEC’s two new interpretive releases, which go into effect upon publication in the Federal Register, may require immediate changes in your compliance program. Investment Advisers: You need […]
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June 13 2019 - NRS Insights
Using Flashcards to Prepare for Your Licensing Exam
Flashcards have been around a while — they were “invented” in the early 19th century and are still effective learning tools 200 years later, in our digital age!
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Chicago Investment Adviser Compliance Symposium – Fidelity Boot camp
Please fill out the form below and an NRS Representative will contact you about special pricing
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June 6 2019 - NRS Insights
SEC Adopted Regulation Best Interest on June 5! What Does this Mean for Your Firm?
The SEC has adopted Regulation Best Interest (“Reg BI”) and the Form CRS Relationship Summary (“Form CRS”), both of which were proposed on April 18, 2018.
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June 3 2019 - NRS Insights
The SEC Voting on Reg BI on June 5 — Three Months Ahead of Schedule!
In an uncharacteristic regulatory move, the SEC is voting three months earlier than previously announced on whether to adopt “Regulation Best Interest” (Reg BI), the agency’s three-prong rulemaking “package.”
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Spring Conference 2020 Pre-Registration
Sign up here to be the first to be notified when registration for the Spring Conference opens.
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Chicago Investment Adviser Compliance Symposium
Please fill out the form below and an NRS Representative will contact you about special pricing
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May 22 2019 - NRS Insights
How Do I Know?
What just happened? Remarks made by OCIE Director, Peter Driscoll at the NRS Spring 2019 Compliance Conference on April 29 are causing investment advisers and broker-dealers to reconsider how they determine the appropriate amount of resources to direct to compliance. In a speech titled “How We Protect Retail Investors”[1] Mr. Driscoll said the following: We […]
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May 15 2019 - NRS Insights
Cybersecurity Training: A Wise Investment in Prevention
In spite of fortunes being spent on technology to protect sensitive information, experts warn that most firms overlook a critical, primary defense
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May 14 2019 - NRS Insights
It’s Never Been Easier to Get Started in the Securities Industry.
Have you dreamed of a lucrative career on Wall Street, but thought that the barriers to entry were too high? As of October 1, 2018, that bar was
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