NRS Insights Blog

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September 15 2016 - NRS Insights

What Advisers Need to Know to Comply with the SEC’s New Form ADV Amendments

On August 25, 2016, the SEC adopted amendments to Form ADV and the Advisers Act. As noted in the adopting release, the amendments to Form ADV are designed to improve the depth and quality of information the SEC collects on investment advisers that will enhance the staff’s ability to effectively carry out risk monitoring initiatives and assist the SEC’s risk-based examination program….Click the link above to read more.
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September 6 2016 - NRS Insights

Newly Proposed SEC Rule May Have Far-Reaching Impact on Investment Advisers

On June 28th, 2016, the SEC proposed a new rule under the Investment Advisers Act of 1940 that would require SEC-registered advisers to adopt, implement and maintain relevant records of business continuity and transition plans. Regulators believe that the rule will minimize client and investor harm during periods of disruption….. To read more, click on the blog headline above.
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August 30 2016 - NRS Insights

88 Million Participating in 500,000 401(k) Plans in the U.S.!

401(k)s have been a retirement option for only 35 years, and yet roughly 28% of the U.S. population is participating. As mentioned in earlier articles, retirement planning is one of the most important and complex financial tasks clients will undertake in their lives. At a bare minimum, registered representatives should educate themselves about the various retirement plans and products before recommending them to their clients.
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August 17 2016 - NRS Insights

Series 63 NASAA Exam Update

NASAA has updated the test specifications for each of its examinations to better reflect the skills and knowledge needed by broker/dealer agents and investment adviser representatives in today’s ever-changing financial industry.
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BIG DATA Security
August 17 2016 - NRS Insights

Cybersecurity for Reps & Clients

FIRE Solutions is pleased to announce the addition of Cybersecurity for Representatives & Clients to our Firm Element and Annual Compliance Meeting catalog.
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August 8 2016 - NRS Insights

401 (k) Plans

FIRE Solutions is pleased to announce the addition of 401 (k) Plans to our Firm Element Continuing Education course catalog.
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Post-Series 7 Students
August 4 2016 - NRS Insights

Post-Series 7 Students: Take Your Career to the Next Level!

Now that you have completed your Series 7 exam, consider taking one of our principal training courses while you are still in “study mode.” Studying for the series 7 has equipped you with successful techniques which will be useful throughout your career.
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July 29 2016 - NRS Insights

Big Changes for Reps Who Work with Retirement Plans

Retirement planning is one of the most important and complex financial tasks clients will undertake in their lives. Registered representatives who are educated about all the various retirement options can provide significant assistance to clients. However, reps who work with these investments may now be deemed fiduciaries under new, complex Department of Labor and ERISA rules.
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July 20 2016 - NRS Insights

Series 7 Exam Prep Tutorial – FINRA Rules & Regulations

FINRA Rules & Regulations is another video from our Series 7 Exam Prep tutorials, posted to our YouTube channel.
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July 19 2016 - NRS Insights

Series 7 Exam Prep Tutorial – Municipal Bonds

We’re adding tutorial videos to our YouTube channel from our Series 7 Exam Prep.
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