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July 26 2019 - NRS Insights

OCIE Risk Alert

On July 23, 2019 the Office of Compliance Inspections and Examinations (“OCIE”) published a Risk Alert sharing the staff’s observations from its examinations conducted during the Supervision Initiative launched in 2017.
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June 21 2019 - NRS Insights

Embrace These Tough Love Learning Strategies and Leave your Highlighter at Home!

A recent report published by the Association for Psychological Science (APS) identified some of the most, and least, effective learning strategies.
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June 13 2019 - NRS Insights

Using Flashcards to Prepare for Your Licensing Exam

Flashcards have been around a while — they were “invented” in the early 19th century and are still effective learning tools 200 years later, in our digital age!
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June 6 2019 - NRS Insights

SEC Adopted Regulation Best Interest on June 5! What Does this Mean for Your Firm?

The SEC has adopted Regulation Best Interest (“Reg BI”) and the Form CRS Relationship Summary (“Form CRS”), both of which were proposed on April 18, 2018.
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June 3 2019 - NRS Insights

The SEC Voting on Reg BI on June 5 — Three Months Ahead of Schedule!

In an uncharacteristic regulatory move, the SEC is voting three months earlier than previously announced on whether to adopt “Regulation Best Interest” (Reg BI), the agency’s three-prong rulemaking “package.”
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May 22 2019 - NRS Insights

How Do I Know?

What just happened? Remarks made by OCIE Director, Peter Driscoll at the NRS Spring 2019 Compliance Conference on April 29 are causing investment advisers and broker-dealers to reconsider how they determine the appropriate amount of resources to direct to compliance. In a speech titled “How We Protect Retail Investors”[1] Mr. Driscoll said the following: We […]
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May 15 2019 - NRS Insights

Cybersecurity Training: A Wise Investment in Prevention

In spite of fortunes being spent on technology to protect sensitive information, experts warn that most firms overlook a critical, primary defense
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May 14 2019 - NRS Insights

It’s Never Been Easier to Get Started in the Securities Industry.

Have you dreamed of a lucrative career on Wall Street, but thought that the barriers to entry were too high? As of October 1, 2018, that bar was
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May 10 2019 - NRS Insights

SEC Regulation Best Interest: Ready or Not, Here It Comes!

Just over one year has passed since the SEC proposed Regulation Best Interest (Reg BI) in April 2018. The SEC has stated that it hopes to have the regulation finalized by the end of September 2019.
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May 10 2019 - NRS Insights

FINRA Provides Guidance on Customer Communications Related to Departing Representatives

This summary discusses the guidance FINRA has provided through Regulatory Notice 19-10 regarding communications firms should have with their clients when a registered representative departs through resignation or termination.
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