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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 […]
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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 […]
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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 […]
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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 […]
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April 14 2014 - Press release

National Regulatory Services Releases Personal Securities Trading Module for NRS ComplianceGuardian™

Skokie, IL - National Regulatory Services (NRS), part of Accuity, today announced the release of a new module for the NRS ComplianceGuardian™ technology platform. The Personal Securities Trading Module enables firms to automate the process of reviewing the personal trading activities of their access persons. This offering integrates with services provided by the NRS team of consultants to […]
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January 9 2014 - Press release

Rep Insight Module Automates Registration and Supervision of Registered Reps and Advisers for FINRA Compliance

SKOKIE, IL - National Regulatory Services (NRS), part of Accuity, today released an enhanced version of the Rep Insight Module, an upgraded module of the ComplianceMAX™ (cMAX) technology platform. The module enables broker-dealers and dually-registered investment advisers to efficiently manage, through one centralized database, registered rep and adviser data that is critical for state and federal compliance. For […]
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October 3 2013 - Press release

NRS and IAA Releases 13th Annual Evolution/Revolution

WASHINGTON, DC / LAKEVILLE, CT - The Investment Adviser Association (IAA) and National Regulatory Services (NRS) today issued the 13th annual Evolution/Revolution report, an in-depth study that analyzes annual updates filed by investment advisers registered with the Securities and Exchange Commission (SEC). The 2013 report is based on information on file with the SEC as of April 12, 2013. This year’s […]
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September 5 2013 - Press release

National Regulatory Services Releases Enhanced Calendar for NRS ComplianceGuardian

Skokie, IL - National Regulatory Services (NRS), part of BankersAccuity, today announced the release of an updated calendar feature in NRS’s ComplianceGuardian™ solution. New functionality now links investment advisers’ policies and procedures manuals directly with a calendar to deliver actionable lists of compliance-specific tasks. The enhanced calendar functionality streamlines an adviser’s compliance processes by enabling content-sharing across an […]
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May 20 2013 - Press release

National Regulatory Services Introduces Continuing Education Module v2.0

Skokie, IL - National Regulatory Services (NRS), part of BankersAccuity, today announced Continuing Education Module v2.0, an upgraded module of the ComplianceMAX™ (cMAX) technology platform. The upgrade includes additional FIRM Element courses, Annual Compliance Meetings (ACM) and Insurance CE courses as well as improved student alerting, administrator reporting and ease-of-use features. CE Module is fully integrated with the […]
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January 24 2013 - Press release

National Regulatory Services Enhances Its Communications and Advertising Review Solution

Skokie, IL - National Regulatory Services (NRS), part of BankersAccuity, today announced substantial enhancements to the Communications and Advertising Review Module of the ComplianceMAX™ (cMAX) technology platform. cMAX Ad Review v2.0 provides a single solution for the communications and advertising review process, including automated filing of materials with FINRA. Equipped with expanded standard reporting capabilities, the solution includes […]
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