Resources

These useful resources will help you stay up to date on the latest industry trends and technologies.

  • Filter Results by Resource Type

  • Filter Results by Tag

  • Clear

November 14 2019 - Resource

View our ComplianceGuardian Video

Introducing the new and improved ComplianceGuardian™ for Investment Advisers and Broker-Dealers. Helping Investment Advisers and Broker-Dealers master compliance with greater confidence. View the video below or visit our Lookbook here.
Read full article
October 8 2019 - Resource

View our ComplianceGuardian Lookook

Introducing the new and improved ComplianceGuardian™ for Investment Advisers and Broker-Dealers. Check out our lookbook to see our latest improvements.
Read full article
September 12 2019 - Resource

Evolution Revolution 2019

The 2019 Evolution Revolution report is an annual joint study by the Investment Adviser Association (IAA) and National Regulatory Services (NRS)
Read full article
July 16 2019 - Resource

What the SEC Releases Require you do Ahead of Reg BI

This webinar explains how the SEC’s two new interpretive releases, which go into effect upon publication in the Federal Register, may require immediate changes in your compliance program.
Read full article
January 15 2019 - Resource

NRS Education Calendar 2019

The NRS 2019 Education Calendar provides a full view of all events so that you can plan your year for education; from becoming an IACCP designee, to continuing your education.
Read full article
Evolution Revolution 2018
September 6 2018 - Resource

Evolution Revolution 2018

The 2018 Evolution Revolution report is an annual joint study by the Investment Adviser Association (IAA) and National Regulatory Services (NRS), which is integrated with Accuity. The report offers the most comprehensive profile of SEC-registered investment advisers, containing data on 12,578 firms that manage $82.5 trillion for more than 34 million clients this year and employ more than 800,000 workers.
Read full article
FIRE Solutions
June 20 2018 - Resource

FIRE on your side

Read the latest FIRE on Your Side e-news extract on the Senior Safe Act by filling out the form below.
Read full article
May 21 2018 - Resource

The Evolution of the Cybersecurity Exam

A compliance reporter webinar. Hosts: Kurt Wachholz, Executive Consultant – NRS, and Alex Santos, CEO – Fortress Information Security
Read full article
August 1 2017 - Resource

Evolution Revolution 2017

The just-released 2017 Evolution Revolution also shows that the investment adviser profession remains a powerful provider of high quality jobs as it evolves to meet the demands of a growing, tech-savvy client demographic.  The 17th edition of this annual joint study by the Investment Adviser Association (IAA) and National Regulatory Services (NRS) paints a picture of a strong industry that […]
Read full article
March 20 2017 - Resource

Transactional Exemption Module

While mutual funds may be exempted from state registration, they are still subject to state notice filings and payment of fees. Many of the state fees are calculated as a percentage of aggregate sales in the state. This whitepaper will outline how you can decrease expenses for paying state notice filings and fees, maximize recognition […]
Read full article