Press Room
March 6 2018 - Press release
National Regulatory Services and Fortress Information Security join forces to help businesses tackle cybersecurity compliance
Lakeville, CT / Orlando, FL -
National Regulatory Services (NRS), the leader in compliance solutions and services for financial services firms, and Fortress Information Security, a rapidly growing information security and risk mitigation company, have announced a partnership to offer a new cybersecurity consulting service. The combined proposition aims to ensure that organizations of all sizes are both protected from increasingly […]
Read full article
August 1 2017 - Press release
IAA and NRS 17th Annual Evolution Revolution Study
Washington, DC / Lakeville, CT -
The universe of federally registered investment advisers continued to grow in 2017, as did the total of their aggregate regulatory assets under management (RAUM) – which now stands at a record high of $70.7 trillion. The just-released 2017 Evolution Revolution also shows that the investment adviser profession remains a powerful provider of high-quality jobs as […]
Read full article
October 5 2016 - Press release
NRS Acquires Fire Solutions
Evanston, IL -
NRS, part of Accuity, today announced that it has acquired FIRE Solutions, a leading provider of compliance and education products and services to the broker-dealer community and an industry leader in securities exam preparation. Palm Ventures, LLC is the lead investor in FIRE Solutions along with The Palmer Group. The acquisition is part of NRS’s […]
Read full article
August 23 2016 - Press release
NRS and IAA’s 16th Annual Evolution Revolution Study
Washington, DC / Lakeville, CT -
The universe of federally registered investment advisers continued to grow in 2016 – adding more firms and more jobs, while managing assets for a greater number of clients, according to the just-released 2016 Evolution Revolution. The 16th edition of this annual joint study by the Investment Adviser Association (IAA) and National Regulatory Services (NRS) paints […]
Read full article
October 7 2015 - Press release
National Regulatory Services (NRS) releases the first Advertising Review system with bi-directional AREF integration
National Regulatory Services (NRS) has released an update to the Advertising and Public Communication Review module on its ComplianceMax™ (cMAX) platform that adds new functionality to further increase the efficiency of managing advertising by automatically retrieving FINRA’s Comment Letters. “Our updated system allows the complete advertising review workflow to be managed and documented easily and […]
Read full article
August 11 2015 - Press release
NRS and Fox Financial Planning Network: AdvisorTouch Symphony
San Diego, CA -
NRS (National Regulatory Services) and Fox Financial Planning Network (FFPN) announce the launch of AdvisorTouch Symphony, the only program of its kind to help financial advisory firms harness the power of combining robo-technology with practice management. FFPN created this program to demystify robo-technology for advisory firms and provide a detailed road map through every aspect […]
Read full article
May 27 2015 - Press release
National Regulatory Services Releases cMAX Customer Complaints Module
Skokie, IL -
National Regulatory Services (NRS), part of Accuity, today announced the release of the ComplianceMAX (cMAX) Customer Complaints Module, created to allow its users to confidently manage, utilize and archive information pertaining to customer complaints. The module helps broker-dealers comply with FINRA Rule 4530 by centralizing all customer complaint information into a configurable workflow and automating […]
Read full article
May 6 2015 - Press release
National Regulatory Services Releases Blue Sky Solution™ Transactional Exemption Module
Skokie, IL -
National Regulatory Services (NRS), part of Accuity, today announced the Blue Sky SolutionTM Transactional Exemption Module created to return expense management control to mutual funds. The system enables fund companies and third party administrators to identify investor purchases that are exempt from blue sky law reporting which covers the offer and sale of securities in […]
Read full article
March 10 2015 - Press release
SEC Approves Consolidated FINRA Regarding Background Checks
The SEC approved FINRA’s proposed rule change to adopt NASD Rule 3010(e) (Qualifications Investigated) relating to background checks on registration applicants as FINRA Rule 3110(e) (Responsibility of Member to Investigate Applicants for Registration) in the consolidated FINRA rulebook. FINRA Rule 3110(e) includes new provisions relating to the verification of information in the Form U4 (Uniform […]
Read full article
October 13 2014 - Press release
NRS and IAA’s 14th Annual Evolution/Revolution Study Spotlights Diversity of U.S. Investment Advisory Profession
WASHINGTON, DC / LAKEVILLE, CT -
The Investment Adviser Association (IAA) and National Regulatory Services (NRS) today issued the 14th annual Evolution/Revolution report, an in-depth study analyzing annual updates filed by investment advisers registered with the U.S. Securities and Exchange Commission (SEC). The 2014 report is based on information on file with the SEC as of April 7, 2014. This year’s […]
Read full article
