Regulatory Compliance E-newsletter – September / October 2018

Feature of the Month NRS Compliance Forum – New York Beginning in the Fall of 2011, the SEC’s Office of Compliance Inspections and Examinations began issuing alerts to help securities industry firms address certain risks associated with regulatory compliance. In many instances the basis of these alerts stemmed from National Exam Program observations of recurring […]
Find out more

NRS Partnership Program

Gain compliance confidence – make NRS your compliance partner through the NRS Partnership Program. The NRS Partnership Program provides you with: a dedicated compliance-professional consultant NRS provides access to a dedicated compliance-professional consultant who will conduct a thorough compliance review that will help you address gaps in your strategy and will stay with you to […]
Find out more
SEC-Registration Investment Adviser
September 13 2018 - NRS Insights

The industry is bright for Investment Advisers

In case you have not heard, according to this year’s Evolution Revolution report released on September 6 by NRS and the IAA, the number of SEC-registered investment advisers continues to climb.
Find out more
Evolution Revolution 2018
September 6 2018 - Press release

IAA and NRS Study finds investment adviser profession a strong economic driver

- The 2018 Evolution Revolution report, published today, found the universe of SEC-registered investment advisers is on the rise and has hit record-highs this year in terms of number of advisers, aggregate regulatory assets under management (RAUM) and employment.
Read full article
Evolution Revolution 2018
September 6 2018 - Resource

Evolution Revolution 2018

The 2018 Evolution Revolution report is an annual joint study by the Investment Adviser Association (IAA) and National Regulatory Services (NRS), which is integrated with Accuity. The report offers the most comprehensive profile of SEC-registered investment advisers, containing data on 12,578 firms that manage $82.5 trillion for more than 34 million clients this year and employ more than 800,000 workers.
Read full article

Regulatory Compliance E-newsletter – July / August 2018

Feature of the Month OCIE issues Risk Alert on Best Execution On July 11, 2018, the Office of Compliance Inspections and Examinations (“OCIE”) issued a National Exam Program Risk Alert (“Risk Alert”) for compliance issues related to the obligation to seek best execution imposed upon investment advisers (“advisers”) granted the responsibility for selecting broker dealers […]
Find out more
July 30 2018 - NRS Insights

BDs to Benefit from FINRA360 Changes to Enforcement and Exam Process

As part of its continuing efforts to review and revamp the organization (i.e. FINRA360), FINRA has consolidated its enforcement units in order to streamline investigations, improve consistency and transparency and, ultimately, improve relationships with member firms.
Find out more
Focused businessman taking notes in meeting
Product

FIRE Drill Quiz App

As a study aid complimenting NRS FIRE’s Series Exam prep, the FIRE Drill App lets you study for your Series certifications anytime, anywhere. Consisting of hundreds of questions, users can choose how many questions they would like to have in each test, and the system provides an interactive quiz experience with immediate feedback on the […]
Find out more
Teacher grading homework in classroom
Product

Mastery Exams for FINRA Series 6, 7, 9, 63, 65 and 66

NRS FIRE Mastery Exams for Series 6, 7, 9, 63, 65 and 66 are designed to test your overall mastery of the concepts tested on securities exams. Closely replicating the actual exam experience in terms of content, format, requirements and difficulty, passing our mastery exams provides students with a true gauge on their preparedness. NRS […]
Find out more
Cape Town, South Africa, colleagues together in office
Product

Series 7 and 66 Exam Prep

NRS FIRE’s Series 7 and 66 Exam prep bundle provides students with the knowledge they need to prepare for their exams and pass successfully. Backed by FIRE’s exclusive “Green Light” plan, the exam prep bundle allows students to gauge their readiness to move forward, and build confidence in their knowledge and expertise. Students achieving a […]
Find out more