Resources
These useful resources will help you stay up to date on the latest industry trends and technologies.
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.
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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.
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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)
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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.
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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.
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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.
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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.
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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
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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 […]
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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 […]
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