NRS Compliance Confidence

Compliance Confidence.

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The Latest from NRS

January 4 2021 - NRS Insights

SEC Division of Examinations Will Conduct More Focused Reg BI Examinations Beginning January 2021

Almost six months since Regulation Best Interest’s (“Reg. BI”) compliance date, the Division of Examinations (“Division”) (formerly the “Office of Compliance Inspections and Examinations” or “OCIE”) announced its intent to begin conducting more focused examinations for compliance with Reg. BI in January 2021.

November 23 2020 - NRS Insights

SEC OCIE Observations: Investment Adviser Compliance Programs

On November 19, 2020 the U.S. Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a risk alert discussing observations on Investment Adviser Compliance Programs. The Risk Alert discusses notable, but not new, compliance issues identified by OCIE dealing with Rule 206(4)-7, the Compliance Rule. What does this mean? OCIE Staff […]

November 19 2020 - NRS Insights

Observations from SEC OCIE’s Examinations of Investment Advisers

On November 9, 2020 the U.S. Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a risk alert discussing compliance issues and deficiencies observed from its recent exams.

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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