Regulatory Compliance E-newsletter – May/June 2018
Feature of the Month NRS Symposia Preview – Chicago and Boston Each year, NRS holds Compliance Symposia on the West Coast, Midwest, and East Coast. The NRS symposia offers three days of interactive compliance education for attendees. In the next two months, the Midwest symposium held in Chicago and the East Coast symposium held in […]
Find out more
Product
Securities Industry Essentials Exam Prep
Effective October 1, 2018, FINRA is changing the examination process by which securities professionals qualify to register in order to reduce redundancy among the exams. New registrants will be required to pass the Securities Industry Essentials (SIE or Essentials) exam and subsequently a representative-level qualification exam. The FINRA SIE exam is an introductory-level exam covering […]
Find out more
June 26, 2018 - 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 […]
Find out more
November 29, 2018 - 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 […]
Find out more
Product
Welcome Charles Schwab Visitors
National Regulatory Services stands ready to help with starting up your firm and to remain your compliance partner with ongoing compliance support. We offer services that will give you the tools you need to succeed including: Registration Services Includes an array of services ranging from compliance organization and startup counseling to assistance with drafting compliance […]
Find out more
Education Cancellation Policy
NRS Annual Spring/Fall Conference: Upon receipt of written notification of cancellation received thirty (30) days prior to the annual conference, registrant is entitled to a refund, minus a $150 processing fee. Due to group commitments to the hotel, no refunds can be given for cancellations received less than thirty (30) days prior to conference. However, […]
Find out more
Product
Conferences
Spring and Fall Compliance Conferences For decades the NRS Spring and Fall Compliance Conferences have formed the cornerstone of NRS Education Solutions. They provide a comprehensive view of the current regulatory landscape, discuss the latest regulatory changes and provide strategies for workable, effective compliance programs. Sessions provide compliance professionals with insights and tools that transform […]
Find out more
December 6, 2018 - Event
Broker-Dealer – Topic TBD
Course Description: Coming Soon
Find out more
December 11, 2018 - Event
Compliance Professional Summit
Course Description: Today’s compliance professionals are facing an era of dynamic and rapid regulatory change. New regulatory leadership and initiatives are changing securities regulation in fundamental ways. More demanding regulatory inspections and growing expectations (such as social media and cloud computing) are straining compliance resources. Now, more than ever, the periodic identification and assessment of […]
Find out more
October 23, 2018 - Event
RIA Year-End Compliance Check-up
Course Description: This timely course gives you the opportunity to review, identify and discuss investment adviser compliance action items that should be part of the compliance officer’s year-end checklist. To help review the current year and plan for the future, instructors will walk you through key compliance resolutions for the year ahead. Essential to this […]
Find out more
