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Compliance Confidence.

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The Latest from NRS

May 18 2020 - NRS Insights

Morgan Stanley Penalized $5 Million for Insufficient Transparency in Wrap Trading Costs

The SEC and Morgan Stanley Smith Barney LLC (MSSB) settled charges that MSSB provided misleading information to clients in its retail wrap fee programs regarding trade execution services and transaction costs
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Coronavirus Compliance: What Areas Should You Focus On Now
April 9 2020 - NRS Insights

Coronavirus Compliance: What Areas Should You Focus On Now

It is said that those who forget the past are condemned to repeat it. Perhaps “condemned” is not the best word choice, given the current circumstances, but past events can and should inform the present.
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SEC: No Extension for Reg BI, Form CRS Compliance
April 6 2020 - NRS Insights

SEC: No Extension for Reg BI, Form CRS Compliance

SEC Chairman Jay Clayton announced that the Commission will not extend the compliance date for Reg BI and the filing date for Form CRS beyond June 30, 2020 despite the recent social, economic and market turmoil caused by the COVID-19 pandemic.
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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 […]
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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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