23 Search Results


Product

Form CRS

Beginning in June of 2020, Investment Advisers and Broker-Dealers will need to comply and submit a new disclosure form – Form CRS.
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SEC: No Extension for Reg BI, Form CRS Compliance
April 6 2020 - NRS Insights

SEC: No Extension for Reg BI, Form CRS Compliance

SEC Chairman Jay Clayton announced that the Commission will not extend the compliance date for Reg BI and the filing date for Form CRS beyond June 30, 2020 despite the recent social, economic and market turmoil caused by the COVID-19 pandemic.
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May 7, 2020 - Event

Form CRS: Preparation, Distribution, Procedures and More

On June 5, 2019, the SEC adopted Form CRS and new rules, as well as amendments to its forms and rules under the Investment Advisers Act of 1940. Form CRS and its related rules require SEC-registered Investment Advisers to deliver to retail investors a brief customer or client relationship summary that provides information about the […]
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February 27, 2020 - Event

Form CRS: Preparation, Distribution, Procedures and More

On June 5, 2019, the SEC adopted Form CRS and new rules, as well as amendments to its forms and rules under the Investment Advisers Act of 1940. Form CRS and its related rules require SEC-registered Investment Advisers to deliver to retail investors a brief customer or client relationship summary that provides information about the […]
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Regulation Best Interest (Reg BI) and Form CRS

While creating policies and procedures and drafting a two or four page disclosure document seems easy, the underlying navigation of identifying conflicts of interest, mitigating and disclosing those conflicts, disclosing fees and costs of services and investments, as well as disciplinary history can become daunting – particularly when this disclosure is submitted to the SEC […]
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Form CRS Tool - NRS ComplianceGuardian™
Product

Form CRS Tool

NRS ComplianceGuardian™’s Form CRS Tool is profile driven and allows you meet your June 2020 compliance obligations with confidence.
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November 20, 2019 - Event

Practical Steps for Creating Form CRS for Investment Advisers

This webinar does not qualify for CE Credit Form CRS must be prepared and filed by investment advisers (and broker dealers) that provide services to retail investors no later than June 30, 2020. While this new summary disclosure document is exceedingly short (no more than 2 pages, 4 for dual registrants), it must nevertheless highlight […]
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October 16, 2019 - Event

Unpacking and Implementing Reg BI and Form CRS

Course Description: While the compliance date for Reg BI and Form CRS is June 30, 2020, your planning and budgeting processes need to be cornerstones of your 2020 compliance program. To do this, you need to be able to apply the foundational concepts and organizational minutia of the almost 1,300 pages of the adopting releases […]
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June 6 2019 - NRS Insights

SEC Adopted Regulation Best Interest on June 5! What Does this Mean for Your Firm?

The SEC has adopted Regulation Best Interest (“Reg BI”) and the Form CRS Relationship Summary (“Form CRS”), both of which were proposed on April 18, 2018.
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March 5 – 6, 2020 - Event

IAA Annual Investment Adviser Compliance Conference

Visit NRS at booth 18 to learn more about… The Investment Adviser Certified Compliance Professional (IACCP®) designation and Investment Adviser Core Compliance Certificate Program (IA Core.)  The IACCP™ designation program, cosponsored with the Investment Adviser Association (IAA), acknowledges the heightened role of compliance and responds to the growing industry demand for advanced compliance education and […]
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