April 19 2019 - NRS Insights

The Bigger Picture on FINRA’s 529 Plan Share Class Initiative

In early 2019, FINRA implemented the 529 Plan Share Class Initiative in response to exam findings that some financial services firms
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May 30, 2019 - Event

IACCP Exam Study Session (optional)

Course Description: Practice and preparation are two ways to help you improve your IACCP test results. This IACCP examination study session will help accomplish both for you. The instructor-led session will test your knowledge and allow you to become familiar with the types of questions you will encounter when taking the actual exam. Refresh your […]
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Thank you for your confirmation

Sorry we won’t see you at the cocktail reception. Feel free to stop by our booth during the 2019 FINRA Annual Conference to learn more about NRS Broker-Dealer offerings and the ways we’ve built compliance confidence in Broker-Dealers over the last 30 years. Hope to see you soon!
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Invitation-Only Cocktail Reception (2019 FINRA Annual Conference)

RSVP: Date: Tuesday, May 14th, 2019 Time: 7:00 pm – 9:00 pm EDT Location: The Lobby Bar – Fireplace Lounge, Marriott Marquis Washington, D.C., 901 Massachusetts Avenue NW, Washington, D.C. 20001
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Scottsdale Investment Adviser Compliance Symposium

Please fill out the form below and an NRS Representative will contact you about special pricing
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April 12 2019 - NRS Insights

New SEC Cybersecurity Sweep to focus on Investment Advisers

The SEC’s Office of Compliance Inspections and Examinations (OCIE) announced a third cybersecurity sweep largely focused on investment advisers.
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Invitation-Only Cocktail Reception (2019 FINRA Annual Conference)

RSVP: Date: Tuesday, May 14th, 2019 Time: 7:00 pm – 9:00 pm EDT Location: The Lobby Bar – Fireplace Lounge, Marriott Marquis Washington, D.C., 901 Massachusetts Avenue NW, Washington, D.C. 20001
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April 29, 2019 - Event

New to Investment Adviser Compliance

Course Description: This session is custom-made for those who want a better understanding of the fundamentals of investment adviser compliance. Our panelists will make sense of the structure of the SEC, state investment adviser regulation, and will review the key issues and common obstacles that you will encounter when designing and implementing your compliance program.
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May 1, 2019 - Event

Critical Skills for High-Performance Compliance Professionals: Best Execution

Course Description: FACT: Broker-dealers and investment advisers have different definitions of “best execution”. This simple fact is at the root of many of the problems firms have in determining whether or not they are achieving best execution. If you have a strictly BD or an IA background, you may encounter this confusion in working with […]
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April 30, 2019 - Event

Professional Ethics: Ethical Decision-Making for Compliance Professionals

Course Description: Beyond the rules that require Code of Ethics and the developing of procedures to manage risks, compliance professionals must also demonstrate decision making that fosters unethical remediation and sustained ethical behavior. This session goes beyond the decisions involved in writing policies and procedures and addresses the process for deciding how to enforce and […]
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