August 4 – 6, 2020 - Event

East Coast Investment Adviser Core Compliance Program Symposium

NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.
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July 14 – 16, 2020 - Event

Central Investment Adviser Certified Compliance Professional Program Symposium

Gain a foundation in IA Compliance and complete requirements for your IACCP® Designation
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June 2 – 4, 2020 - Event

West Coast Investment Adviser Core Compliance Program Symposium

NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.
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July 14 – 16, 2020 - Event

Investment Adviser Certified Compliance Professional Program Symposium 2020 – Mid-West

NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.
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June 2 – 4, 2020 - Event

Investment Adviser Core Compliance Program Symposium 2020 – West

NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.
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August 4 – 6, 2020 - Event

Investment Adviser Core Compliance Program Symposium 2020 – East

NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.
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2020-Course-Calendar
January 8 2020 - Resource

NRS 2020 Course Calendar

NRS 2020 Education Calendar provides a full view of all events so that you can plan your year for education; from becoming an IACCP designee, to continuing your education.
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Product

Regulation Best Interest (Reg BI)

Although Regulation Best Interest (Reg BI) has stolen the spotlight, it is just one part of the SEC’s Standards of Conduct for Investment Professionals Rulemaking Package, which consists of the following regulations and interpretations: Regulation Best Interest Form CRS Investment Adviser Fiduciary Duty Interpretation A “Solely Incidental” Broker-Dealer Exclusion Interpretation Enroll Gain the knowledge you […]
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Financial advisor with laptop meeting in dining room
Product

Policies and Procedures Management

ComplianceGuardian™, Policies and Procedures Management swiftly puts your firm’s policies and procedures in place and on solid ground. Using ComplianceGuardian™ your firm can create required policies and procedures or code of ethics including attestations. Manual content is written and updated quarterly by NRS compliance experts to ensure that your firm meets current regulatory requirements. NRS’ […]
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December 8, 2020 - Event

Compliance Professional Summit

A panel of compliance professionals from firms of many sizes will cover current risk issues of concern to many compliance professionals.
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