Chicago Investment Adviser Compliance Symposium 2020

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October 26 – 29, 2020 - Event

NRS Fall 2020 Compliance Conference

Join NRS at our Fall 2020 Compliance Conference where industry experts will address how investment adviser and broker-dealer firms can successfully navigate the disruptive currents of regulatory change and adapt procedures to compliance programs. attendee comments Recent Trends in Investment Adviser Enforcement Proceedings Session was bright and knowledgeable, with poised, vibrant and excellent speakers. The […]
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April 20 – 23, 2020 - Event

NRS Spring 2020 Compliance Conference

Join NRS at our Spring 2020 Compliance Conference where industry experts will address how investment adviser and broker-dealer firms can successfully navigate the disruptive currents of regulatory change and adapt procedures to compliance programs. attendee comments Recent Trends in Investment Adviser Enforcement Proceedings Session was bright and knowledgeable, with poised, vibrant and excellent speakers. The […]
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Product

Series 6

Overview Investment Company and Variable Contracts Products Representative The Series 6 representative-level FINRA exam qualifies an individual to sell investment companies, including mutual funds; and variable contracts, including variable annuities and variable life insurance. Enroll Securities Exam Preparation training can help you get your career started. Enroll Now
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Spring 2020 Compliance Conference

If you are having trouble with our e-commerce form, or are registering from an address outside of the US, please fill out the form below. An NRS representative will contact you within 24 hours to help you complete your registration.
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October 8 2019 - Resource

View our ComplianceGuardian Lookook

Introducing the new and improved ComplianceGuardian™ for Investment Advisers and Broker-Dealers. Check out our lookbook to see our latest improvements.
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Fall Conference 2020 Pre-Registration

Sign up here to be the first to be notified when registration for the Fall Conference opens.
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Product

Subscription Pricing

NRS FIRE Solutions offers subscription pricing: a single price, all-inclusive alternative. Save hundreds of dollars with unlimited access to all our exam prep courses for an entire year.
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September 12 2019 - Resource

Evolution Revolution 2019

The 2019 Evolution Revolution report is an annual joint study by the Investment Adviser Association (IAA) and National Regulatory Services (NRS)
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September 10 2019 - NRS Insights

FINRA Focuses on Training to Stem Cybersecurity Breaches

Cybersecurity incidents and breaches are increasing annually in scope, magnitude, and creativity. But just how big is the problem? On average, cybersecurity costs businesses about $11.7 million each year 69% of financial firms ranked cyber risk in their top five concerns; 35% named it their top concern. From 2017 to 2018, detected cybersecurity incidents rose […]
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