Author Archives for NRS


Filing
March 25 2020 - NRS Insights

SEC Extends ADV and PF Filing Deadlines and Eases Requirements for Advisers Impacted by COVID-19

On March 25 the SEC announced that it is further extending required filing and delivery deadlines for investment advisers whose ability to make timely filings has been affected by the coronavirus.
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Compliance Considerations during the COVID-19 Crisis
March 24 2020 - NRS Insights

Compliance Considerations during the COVID-19 Crisis

NRS offers the following suggestions for how compliance officers may respond to the unique challenges we are all facing in the current Coronavirus pandemic.
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September 10 2019 - NRS Insights

FINRA Focuses on Training to Stem Cybersecurity Breaches

Cybersecurity incidents and breaches are increasing annually in scope, magnitude, and creativity. But just how big is the problem? On average, cybersecurity costs businesses about $11.7 million each year 69% of financial firms ranked cyber risk in their top five concerns; 35% named it their top concern. From 2017 to 2018, detected cybersecurity incidents rose […]
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August 7 2019 - NRS Insights

Use NRS Securities Exam Prep with Confidence: No-Pass, No-Pay Guarantee!

NRS Securities Exam Prep is an industry-leading program with a NO-PASS, NO-PAY Guarantee. Complete our program, achieve green light status and pass the Series 6, Series 7, Series 63, Series 65 or Series 66 exam confidently!
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July 26 2019 - NRS Insights

OCIE Risk Alert

On July 23, 2019 the Office of Compliance Inspections and Examinations (“OCIE”) published a Risk Alert sharing the staff’s observations from its examinations conducted during the Supervision Initiative launched in 2017.
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June 21 2019 - NRS Insights

Embrace These Tough Love Learning Strategies and Leave your Highlighter at Home!

A recent report published by the Association for Psychological Science (APS) identified some of the most, and least, effective learning strategies.
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June 13 2019 - NRS Insights

Using Flashcards to Prepare for Your Licensing Exam

Flashcards have been around a while — they were “invented” in the early 19th century and are still effective learning tools 200 years later, in our digital age!
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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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June 3 2019 - NRS Insights

The SEC Voting on Reg BI on June 5 — Three Months Ahead of Schedule!

In an uncharacteristic regulatory move, the SEC is voting three months earlier than previously announced on whether to adopt “Regulation Best Interest” (Reg BI), the agency’s three-prong rulemaking “package.”
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May 22 2019 - NRS Insights

How Do I Know?

What just happened? Remarks made by OCIE Director, Peter Driscoll at the NRS Spring 2019 Compliance Conference on April 29 are causing investment advisers and broker-dealers to reconsider how they determine the appropriate amount of resources to direct to compliance. In a speech titled “How We Protect Retail Investors”[1] Mr. Driscoll said the following: We […]
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