NRS Insights Blog
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.
Find out more
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.
Find out more
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.
Find out more
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.
Find out more
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.
Find out more
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.
Find out more
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.
Find out more
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.
Find out more
July 14 2016 - NRS Insights
Series 7 Exam Prep Tutorial – Options
Check out a tutorial from FIRE’s famous Options module for the Series 7 study guide by expert instructor Carol Weber. Our Series 7 Exam Prep program makes the most difficult concepts easy in helping you pass!
Find out more
June 29 2016 - NRS Insights
Avoid Failure to Supervise Claims
Some of the best practices employed by compliance professionals who avoid failure to supervise allegations, is to consistently document their supervisory efforts. These professionals will have a system of documenting, (and retrieving), meeting notes, conversations, red flags, investigations, and follow-up activities. All in an effort to provide verification of how they satisfied the supervisory requirements delegated to them.
Find out more