May 17, 2021 - Event
Keynote Address: A Conversation with the SEC’s Division of Examinations Director, Peter Driscoll
A Conversation with the Division of Examinations Deputy Director, Kristin A. Synder and Kurt Wachholz, NRS Education Director regarding the conference theme of resiliency and reliance.
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May 6 – 20, 2021 - Event
2021 Virtual ICI General Membership Meeting (GMM)
Our presence at the 2021 Virtual ICI General Membership Meeting (GMM) is just one of many ways we are looking to highlight these compliance technology solutions to help you address unique compliance challenges. We provide comprehensive compliance solutions to SEC, FINRA and state regulated firms.
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May 5 – 7, 2021 - Event
NAPFA Spring 2021 National Conference
Sign up for our complimentary demo during the conference to better understand how NRS ComplianceGuardian™ solution can help you maintain compliance fitness in the midst of uncertainty.
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NRS Complimentary Demo
NRS ComplianceGuardian™ RepTracker Demo May 25, 2021 – 1:00 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.
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Complimentary Demo
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April 1 2021 - NRS Insights
Implement Effective Policies and Procedures to comply with the SEC’s Marketing Rule
On December 22, 2020, the U.S. Securities and Exchange Commission (SEC) adopted amendments (the final rule) to Rule 206(4)-1 under the Investment Advisers Act of 1940 (the Advisers Act) to modernize the regulation of investment adviser advertising and solicitation practices.
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NRS Complimentary Demo
NRS ComplianceGuardian™ Brochure Architect Demo April 27, 2021 – 1:00 PM EST Sign up for our complimentary demo to learn more about our Brochure Architect Solution for Form ADV Part 2A and 2B requirements. After completing this demo, you should have insight into constructing “plain English” disclosures for adviser brochures.
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May 18, 2021 - Event
The DOL’s New Prohibited Transaction Exemption (PTE) for Plans and IRAs; Yes, it’s finally here! (IA/BD)
Course Description: In February 2021 the DOL announced that PTE 2020-02 would become effective on February 16. The PTE, designed to replace the late, unlamented fiduciary rule from 2016, sets down the requirements for providing advice to ERISA plans and to IRAs. The PTE confirms the reinstatement of the five-part test for determining whether a […]
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March 2 2021 - Resource
Complimentary Webinar: Critical compliance requirements in 2021
Watch this complimentary webinar and be able to assess the efficacy of your current compliance program while staying ahead of critical regulatory requirements.
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May 18, 2021 - Event
Unpacking Changes to Advertising and Solicitor Rules for Investment Advisers
This session will cover the SEC books and records rule, recent amendments and expectations regarding non-required records included in the exam list.
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