NRS Compliance Confidence

Compliance Confidence.

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The Latest from NRS

April 1 2021 - NRS Insights

Implement Effective Policies and Procedures to comply with the SEC’s Marketing Rule

On December 22, 2020, the U.S. Securities and Exchange Commission (SEC) adopted amendments (the final rule) to Rule 206(4)-1 under the Investment Advisers Act of 1940 (the Advisers Act) to modernize the regulation of investment adviser advertising and solicitation practices.

March 2 2021 - Resource

Complimentary Webinar: Critical compliance requirements in 2021

Watch this complimentary webinar and be able to assess the efficacy of your current compliance program while staying ahead of critical regulatory requirements.

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February 22 2021 - NRS Insights

New ERISA Prohibited Transaction Exemption (PTE) Effective February 16

The US Department of Labor (DOL) announced that Prohibited Transaction Exemption (PTE) 2020-02, which governs conduct by 3(21) ERISA fiduciaries (generally those who provide non-discretionary advice for a fee), took effect on February 16, 2021. (Under Section 4975 of the Internal Revenue Code, this also applies to persons who provide non-discretionary advice to IRAs.)

Technology Solutions

Product

Blue Sky Solution System

NRS’ Blue Sky Solution™ system efficiently and accurately completes all required state-by-state filing responsibilities and supports sales data-feed integration from unlimited data providers. With the NRS Blue Sky Solution™ System you will experience: Accuracy From Day One: Our solution arrives complete with all your fund information, state permit data, historical sales data, and state-by-state filing […]

Product

ComplianceGuardian™

If you’re regulated by the SEC and or FINRA, compliance keeps your doors open while the burden of being in compliance drags at the bottom line. ComplianceGuardian™ combines best-in-class compliance software, latest expert content, education and consulting to efficiently keep your firm in compliance today and as regulations change. The robust ComplianceGuardian™ software platform was […]

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