Press Room
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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November 1 2011 - Press release
Reed Business Information Completes Acquisition of Accuity
Reed Business Information announced today that its acquisition of Accuity Inc. has been completed. On 26 September 2011, it was announced that a definitive agreement to acquire Accuity Inc. for a total cost of £343m had been reached. Accuity Inc. will be integrated with Reed Business Information’s Bankers’ Almanac to form BankersAccuity, bringing a global […]
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August 30 2011 - Press release
NRS and IAA Release 11th Edition of Evolution Revolution
WASHINGTON, D.C. / LAKEVILLE, CT -
The Investment Adviser Association (IAA) and National Regulatory Services (NRS) today issued their eleventh annual report, Evolution Revolution, an in-depth study on the trends of the investment advisory profession that analyzes annual updates filed by investment advisers registered with the Securities and Exchange Commission. The 2011 report is based on information on file with the […]
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