NRS Compliance Confidence

Compliance Confidence.

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The Latest from NRS

August 21 2020 - NRS Insights

States Begin to End Grace Periods for IARs Working From Home Due to COVID-19

What just happened? In the early days of the COVID-19 pandemic, many states announced that they would not require individuals working from their homes to register as investment adviser representatives (IARs) as the result of having a “place of business” in the state. On July 31, 2020 the Pennsylvania Department of Banking and Securities sent […]

August 14 2020 - Resource

COVID-19 Compliance Review Webinar

This webinar outlines the most common pitfalls related to the ongoing pandemic, and provides guidance for assessing your firms’ responses, along with the resiliency of your compliance program. Access the full webinar recording by completing the form below.

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July 27 2020 - NRS Insights

SEC Amends Rules Governing Proxy Solicitations

The Securities and Exchange Commission (SEC) voted Wednesday, July 22, 2020 to adopt amendments to its rules governing proxy solicitations, at the same time publishing new guidance meant to help financial advisers apply the amended rules. SEC Chairman Jay Clayton says the final rule amendments, which have been modified from the proposed version published last […]

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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