NRS Insights Blog
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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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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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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March 25 2020 - NRS Insights
SEC Extends ADV and PF Filing Deadlines and Eases Requirements for Advisers Impacted by COVID-19
On March 25 the SEC announced that it is further extending required filing and delivery deadlines for investment advisers whose ability to make timely filings has been affected by the coronavirus.
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March 24 2020 - NRS Insights
Compliance Considerations during the COVID-19 Crisis
NRS offers the following suggestions for how compliance officers may respond to the unique challenges we are all facing in the current Coronavirus pandemic.
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September 10 2019 - NRS Insights
FINRA Focuses on Training to Stem Cybersecurity Breaches
Cybersecurity incidents and breaches are increasing annually in scope, magnitude, and creativity. But just how big is the problem? On average, cybersecurity costs businesses about $11.7 million each year 69% of financial firms ranked cyber risk in their top five concerns; 35% named it their top concern. From 2017 to 2018, detected cybersecurity incidents rose […]
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August 7 2019 - NRS Insights
Use NRS Securities Exam Prep with Confidence: No-Pass, No-Pay Guarantee!
NRS Securities Exam Prep is an industry-leading program with a NO-PASS, NO-PAY Guarantee. Complete our program, achieve green light status and pass the Series 6, Series 7, Series 63, Series 65 or Series 66 exam confidently!
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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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