NRS Complimentary Demo
NRS ComplianceGuardian™ RepTracker Demo August 19, 2021 – 4:00 PM EST Sign up for our complimentary demo to learn more about managing Broker-Dealer licensing, registration and renewals through our RepTracker solution. After completing this demo, you should have insight into managing and aggregating data that is critical for compliance and supervision to registered representatives.
Find out more
October 27, 2021 - Event
Compliance Considerations in Responding to Diminished Capacity and Critically Ill
Coming soon
Find out more
October 27, 2021 - Event
Compliance Considerations in the Use of Solicitors and Endorsements
Coming soon
Find out more
October 28, 2021 - Event
Compliance Consideratios in Monitoring Electronic Communications
Coming soon
Find out more
October 28, 2021 - Event
Persistent Compliance Challenges with Mutual Fund Share Classes and Wrap Fee Programs
Coming soon
Find out more
October 27, 2021 - Event
Cybersecurity Program Resiliency Considerations in Access Rights and Data Loss Controls
Coming soon
Find out more
October 27, 2021 - Event
Cybersecurity Program Resiliency: Considerations in Vendor Management
Coming soon
Find out more
October 26, 2021 - Event
Keynote Address
Coming soon
Find out more
October 26, 2021 - Event
SEC Examinations of Investment Advisers – Process and Preparation
Coming soon
Find out more
October 25, 2021 - Event
Workshop A: Women in Compliance Roundtable: Diversity and Inclusion in Compliance
Coming soon
Find out more
