NRS Insights Blog

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September 26 2022 - NRS Insights

ComplyConnect Conference & Expo: A Compliance Conference you need to attend

Education, training and industry insight come together at the first compliance conference of its kind – the ComplyConnect Conference and Expo. Here are a few things that make the ComplyConnect Conference & Expo different from any other compliance conference. And what makes it worth attending.
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September 23 2022 - NRS Insights

Advisers on notice: Coming examinations focused on the New SEC Marketing Rule

Areas of examination will include Marketing Rule policies and procedures, substantiation requirement, performance advertising requirements and books and records. With the deadline fast approaching, investment adviser firms should prepare accordingly.
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September 1 2022 - NRS Insights

The SEC’s regulatory agenda for spring 2022: Final rules

In June of 2022, the SEC released their Spring 2022 Unified Agenda of Regulatory and Deregulatory Actions – a list of more than 50 proposed regulation updates, both proposed and finalized. With such a lengthy list, industry professionals would be wise to begin their appraisal of the rules as early as possible. Many of the rules are […]
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August 30 2022 - NRS Insights

And the winner is…the ComplyConnect Conference & Expo compliance awards 2022

Do you know a chief compliance officer at an investment advisory firm deserving of recognition? Or maybe you recently met a hedge fund’s compliance superstar that you think should be awarded for their innovation? Either way, the ComplyConnect compliance awards 2022 is your forum to showcase your talented peers and everything they offer the regulatory compliance landscape.
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August 18 2022 - NRS Insights

The SEC’s regulatory agenda for spring 2022: Proposed rules

In June of 2022, the SEC released their Spring 2022 Unified Agenda of Regulatory and Deregulatory Actions – a list of more than 50 proposed regulation updates, both proposed and finalized. With such a lengthy list, industry professionals would be wise to begin their appraisal of the rules as early as possible. Many of the rules […]
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August 16 2022 - NRS Insights

Introducing the NRS Marketing Review Module

If you’re regulated by the SEC and or FINRA, you know that compliance keeps your doors open. You also know that your firm cannot afford a violation of any regulations. The NRS ComplianceGuardian Marketing Review module guides firms through the review process to help them avoid violating the marketing rule.
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SEC stays all cases before Administrative Law Judges for 30 days
August 1 2022 - NRS Insights

SEC Enforces Mutual Fund Share Class Selection Violations by Investment Advisers

A pair of late July orders instituting cease-and-desist proceedings handed down by the Securities and Exchange Commission (SEC) highlights the Commission’s continued efforts to identify breaches of fiduciary duty, undisclosed conflicts of interest, breaches of duty to seek best execution and failure to adopt adequate policies and procedures by investment advisers transacting in mutual fund shares in client accounts. What does this mean for you? Investment Adviser firms must continue to diligently comply with their fiduciary duty as stated by the SEC or risk the serious penalties that come with non-compliance.
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July 22 2022 - NRS Insights

The broker-dealers guide to Regulation Best Interest (Reg BI)

With the first and (thus far) only Regulation BI offense alleged midway through 2022, it’s worth revisiting some common questions surrounding the Reg BI and reviewing your policies and procedures to ensure compliance.
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July 14 2022 - NRS Insights

The NRS Fall Compliance Conference is now part of the ComplyConnect Conference & Expo: Here’s what you need to know

What’s happening with the NRS Compliance Conference? If you are a dedicated attendee of the conference, whether for IACCP accreditation or simply because you are a compliance professional serving an investment adviser, broker-dealer, etc. who likes to stay in the know on the latest compliance updates, you might be asking this exact question. And now, we have the answer. In late 2021, NRS was acquired by ComplySci as one of three strategic acquisition that helped to create one of the most robust, comprehensive compliance offerings on the market. NRS brought with it a legacy of continued education and compliance excellence, which as a ComplySci family of companies, we are elevating to new levels this year. Introducing the first annual ComplyConnect Conference & Expo.
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SEC: No Extension for Reg BI, Form CRS Compliance
July 8 2022 - NRS Insights

Considerations for the SEC amendment on electronic filing requirements

Recently, the Securities and Exchange Commission (SEC) amended their EDGAR Filing Requirements and Form 144 Filings, adopting a policy of electronic submission. According to their press release, this new requirement will: 1. Create efficiency and transparency. 2. Better the commission’s operational resilience. 3. Improve accessibility, especially given COVID-19 restrictions. In addition to amending the form submission process, the SEC adopted new requirements for “structured data reporting and remov[ing] outdated references.”
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