NRS 2018 Fall Conference
October 25 – 28, 2021 - Event

NRS Fall 2021 Compliance Conference

Join NRS at our Fall 2021 Compliance Conference where industry experts will address how investment adviser and broker-dealer firms can successfully navigate the disruptive currents of regulatory change and adapt procedures to compliance programs.
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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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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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May 20, 2021 - Event

What on Earth are They Doing in Washington? – Administrative Law for Compliance Professionals

Course Description: Your CEO hears about a change in a rule that could dramatically change the way your firm does business. You are tasked with determining, at once, the status of the change, the time available before compliance with the change is required, and the likely impact on your firm. To provide a reasonable answer, […]
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May 18, 2021 - Event

Unpacking Changes to Advertising and Solicitor Rules for Investment Advisers

Course Description: The sweeping revision of the advertising and solicitor rules is perhaps the most dramatic change in IA regulation since the adoption of the Compliance Program Rule in 2003. While the SEC has allowed over a year before compliance with the new rules are required, many firms will want to take advantage of many […]
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May 17, 2021 - Event

SEC Examinations of Investment Advisers – Small Firm

Course Description: Perhaps the greatest compliance challenge for a small firm is to adapt to rules, requirements and requests that also apply to firms 10, 20 or 50 times your size. SEC examinations are no exception – when the SEC announces it will be conducting a remote exam, you are likely to be required to […]
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May 17, 2021 - Event

SEC Examinations of Investment Advisers – Large Firm

Course Description: What a difference a year makes! Your large firm now encompasses offices, branch offices, temporary offices, houses, apartments, summer homes, parents’ homes and more. These dramatic shifts in how your firm does business has not stopped the SEC from maintaining a vigorous schedule of off-site examinations. That means you’re still responsible for documenting […]
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May 18, 2021 - Event

Regulation BI: Preparing for Exam Focus

Course Description: As we approach the anniversary of Regulation BI’s compliance date, are you prepared for the regulatory exam focus? What are the key areas of your compliance processes and how are you testing your duty and disclosure obligations? Panelists will review what firms have encountered post implementation and provide practical guidance in addressing common […]
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