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Blog entries

• February 1 2023 - 2023 FINRA Exam Report includes focus on Reg BI and Form CRS among others
• January 30 2023 - When is it time for your brokerage firm to bring in an outside compliance consultant?
• January 25 2023 - Complying with SEC Rule 206(4)-7: Customizing your compliance policies and procedures
• January 20 2023 - Regulatory compliance education in 2023: Virtual and in-person opportunities held by National Regulatory Services
• January 17 2023 - Why your investment firm should prioritize regulatory compliance education and training in 2023
• January 17 2023 - The top five compliance program deficiencies found at investment firms and brokerage firms
• January 12 2023 - Form ADV Part 2: Identifying and disclosing your investment adviser conflicts of interest
• January 9 2023 - Outsourcing by investment advisers: A comment letter on the SEC proposed rule
• December 29 2022 - A look back: A review of new SEC rules in 2022
• December 28 2022 - How broker-dealers can tailor compliance programs to meet anti-money laundering (AML) regulations
• December 23 2022 - Your investment firm hasn’t done an annual compliance review, yet? We can help!
• December 20 2022 - New SEC proposed rule: SEC Regulation Best Execution for broker-dealers
• December 19 2022 - The SEC’s ESG proposed rules are almost imminent – is your investment firm prepared?
• December 12 2022 - SEC risk alert: Compliance with Regulation S-ID
• December 8 2022 - SEC’s new marketing rule and cybersecurity focus put pressure on investment firms
• December 7 2022 - Regulatory compliance news: What the SEC’s enforcement actions and rulemaking in November signal for 2023
• November 29 2022 - The DOL’s PTE 2020-02: summary and impact on advisers
• November 23 2022 - What’s happening in D.C.? A recap of SEC regulations and news SEC updates from Washington
• November 9 2022 - The SEC’s new Marketing Rule is now in effect. Let us help!
• November 8 2022 - Introducing COMPLY: Parent brand enhances National Regulatory Services (NRS) compliance tools and offerings
• October 21 2022 - How to achieve your Investment Adviser Certified Compliance Professional (IACCP) designation and why it matters
• October 11 2022 - ComplyConnect 2022 sessions to help you achieve your IACCP® designation
• October 4 2022 - NASAA’s enforcement actions and what they mean for your firm
• September 29 2022 - Firms re-evaluating supervision and technology as SEC levies over $1.1 billion in fines
• September 26 2022 - ComplyConnect Conference & Expo: A Compliance Conference you need to attend
• September 23 2022 - Advisers on notice: Coming examinations focused on the New SEC Marketing Rule
• September 1 2022 - The SEC’s regulatory agenda for spring 2022: Final rules
• August 30 2022 - And the winner is…the ComplyConnect Conference & Expo compliance awards 2022
• August 18 2022 - The SEC’s regulatory agenda for spring 2022: Proposed rules
• August 16 2022 - Introducing the NRS Marketing Review Module
• August 1 2022 - SEC Enforces Mutual Fund Share Class Selection Violations by Investment Advisers
• July 22 2022 - The broker-dealers guide to Regulation Best Interest (Reg BI)
• July 14 2022 - The NRS Fall Compliance Conference is now part of the ComplyConnect Conference & Expo: Here’s what you need to know
• July 8 2022 - Considerations for the SEC amendment on electronic filing requirements
• June 8 2022 - Why advisers should consider adopting ESG compliance policies now
• May 25 2022 - Top FAQs on the new SEC marketing rule
• April 22 2022 - The SEC’s 2022 Examination Priorities and Private Fund Advisers
• April 12 2022 - Top 5 Reasons to Attend the NRS Spring 2022 Compliance Conference
• March 21 2022 - Top Takeaways from the IAA 2022 Investment Adviser Compliance Conference
• March 4 2022 - SEC Proposes Cybersecurity Risk Management Rules and Amendments for Registered Investment Advisers and Funds
• February 24 2022 - SEC’s Proposal to Enhance Private Fund Protections
• February 15 2022 - SEC Statement: Form CRS and Your Duties
• April 1 2021 - Implement Effective Policies and Procedures to comply with the SEC’s Marketing Rule
• February 22 2021 - New ERISA Prohibited Transaction Exemption (PTE) Effective February 16
• January 4 2021 - SEC Division of Examinations Will Conduct More Focused Reg BI Examinations Beginning January 2021
• November 23 2020 - SEC OCIE Observations: Investment Adviser Compliance Programs
• November 19 2020 - Observations from SEC OCIE’s Examinations of Investment Advisers
• August 21 2020 - States Begin to End Grace Periods for IARs Working From Home Due to COVID-19
• July 27 2020 - SEC Amends Rules Governing Proxy Solicitations
• July 8 2020 - Continuing Compliance Challenges from Covid-19
• June 29 2020 - OCIE Issues Risk Alert on Private Fund Adviser Exam Deficiencies – Conflicts of Interest
• June 9 2020 - Disclosing your PPP Loan on Form ADV
• May 18 2020 - Morgan Stanley Penalized $5 Million for Insufficient Transparency in Wrap Trading Costs
• April 9 2020 - Coronavirus Compliance: What Areas Should You Focus On Now
• April 6 2020 - SEC: No Extension for Reg BI, Form CRS Compliance
• March 25 2020 - SEC Extends ADV and PF Filing Deadlines and Eases Requirements for Advisers Impacted by COVID-19
• March 24 2020 - Compliance Considerations during the COVID-19 Crisis
• September 10 2019 - FINRA Focuses on Training to Stem Cybersecurity Breaches
• August 7 2019 - Use NRS Securities Exam Prep with Confidence: No-Pass, No-Pay Guarantee!
• July 26 2019 - OCIE Risk Alert
• June 21 2019 - Embrace These Tough Love Learning Strategies and Leave your Highlighter at Home!
• June 13 2019 - Using Flashcards to Prepare for Your Licensing Exam
• June 6 2019 - SEC Adopted Regulation Best Interest on June 5! What Does this Mean for Your Firm?
• June 3 2019 - The SEC Voting on Reg BI on June 5 — Three Months Ahead of Schedule!
• May 22 2019 - How Do I Know?
• May 15 2019 - Cybersecurity Training: A Wise Investment in Prevention
• May 14 2019 - It’s Never Been Easier to Get Started in the Securities Industry.
• May 10 2019 - SEC Regulation Best Interest: Ready or Not, Here It Comes!
• May 10 2019 - FINRA Provides Guidance on Customer Communications Related to Departing Representatives
• May 3 2019 - House Passes Bill to Strengthen Protection of Senior Investors
• April 19 2019 - The Bigger Picture on FINRA’s 529 Plan Share Class Initiative
• April 12 2019 - New SEC Cybersecurity Sweep to focus on Investment Advisers
• February 12 2019 - Ready for the Regulators’ Next AML Scrutiny?
• February 1 2019 - Demystifying the New SIE Exam
• September 13 2018 - The industry is bright for Investment Advisers
• July 30 2018 - BDs to Benefit from FINRA360 Changes to Enforcement and Exam Process
• July 12 2018 - SEC stays all cases before Administrative Law Judges for 30 days
• June 5 2018 - Ready for the Final Exams? Take the Most Reliable Route to Passing
• May 9 2018 - The DOL Breaks Its Silence on the Status of Its Fiduciary Rule
• April 27 2018 - Here We Go Again! SEC Proposes Yet Another New Standard for Brokers
• April 20 2018 - SEC Proposed Best Interest Standard and New Disclosures
• March 26 2018 - DOL Fiduciary Rule Strikes Out — Is the SEC Up Next?
• March 21 2018 - Cryptocurrency Reporting Requirements: The Skinny on Keeping Your Firm Compliant
• March 13 2018 - FINRA’s New SIE and SKE Exams — The Transition Period
• March 5 2018 - So You Want To Work in the Securities Industry? The odds have been tipped in your favor
• February 13 2018 - FINRA Releases Specialized Knowledge Exam Outlines
• February 7 2018 - New Rules Help Prevent the Financial Exploitation of Senior and Vulnerable Adults
• January 30 2018 - What You Should Know Before Opening Your Exam Window This Summer/Fall!
• January 29 2018 - SEC Chair vows to increase Investment Adviser Examinations
• January 17 2018 - FINRA releases final SIE exam outline and confirms effective date; specialized exam outlines to be released soon!
• November 17 2017 - Heads Up: Year-End Is The End for FINRA Testing at Pearson VUE
• November 9 2017 - DOL Sends Final Rule to Extend Applicability Date of the Fiduciary Rule to the OMB
• October 12 2017 - FINRA Delays SIE Rollout Until October 1st, 2018
• October 9 2017 - FINRA Updates (Fixes?) Its Definition of Nonpublic Arbitrator . . .
• October 4 2017 - Compliance Alert: FinCEN’s Venezuela Advisory and FATF’s Updated Jurisdiction Documents
• October 3 2017 - SEC Issues Risk Alert on Advertising Rule Compliance
• September 13 2017 - Compliance Alert: FinCEN Advisory to Financial Institutions on Political Corruption Risks from South Sudan
• September 11 2017 - SEC Issues More Guidance on Certain Form ADV Amendments
• September 5 2017 - Compliance Alert: Changes to MSRB Customer Complaint Rules Now in Effect
• September 4 2017 - The Complete Guide to Passing Your Series 7 Exam
• August 25 2017 - The Bank Secrecy Act, Anti-Money Laundering and your FINRA Exam
• August 18 2017 - OCIE Releases Risk Alert for Cybersecurity 2 Initiative
• August 10 2017 - DOL Proposes to Extend Applicability Date of the Fiduciary Rule
• August 10 2017 - Regulatory Reminder: Effective September 5, the Settlement Cycle Changes from T+3 to T+2
• July 25 2017 - May the Scores Be with You!
• July 17 2017 - SEC Approves FINRA’s Plan to Revamp Qualification Exams
• July 11 2017 - To Thine Own Self Be True — Know Your Testing Environment
• June 9 2017 - SEC opens comment period on possible fiduciary duty rulemaking
• June 7 2017 - Supreme Court Limits SEC’s Authority to Recover Ill-Gotten Profits
• May 26 2017 - June 9 DOL Applicability Date Confirmed by Labor Secretary Acosta
• May 23 2017 - June 9 DOL Applicability Date Confirmed by Labor Secretary Acosta
• May 12 2017 - No Uncertainty for Regulators
• April 14 2017 - SEC’s No-Action Letter Offers Critical Clarification on Custody Rule
• April 11 2017 - DOL Rule Implementation Delayed, as Expected
• April 7 2017 - Rule Change Alert! New Consolidated Rule for Personal Trading Accounts
• April 5 2017 - DOL Delays the Fiduciary Rule to June 9, 2017
• March 23 2017 - Adviser’s Act Amended to Require More Form ADV Information
• March 23 2017 - Adviser’s Act Now Requiring Performance Reporting Documentation
• March 23 2017 - “Fiduciary Rule” Will Not Be Enforced Until Effective Date Is Cleared Up
• March 13 2017 - Robo-Technology presents unique Compliance Challenges
• March 13 2017 - First Steps Taken in Delay of the DOL’s Fiduciary Rule
• March 9 2017 - How Multi-Branch Advisers Can Comply with New OCIE Initiative
• February 17 2017 - DOL Files for Delay of Fiduciary Rule
• February 9 2017 - DOL Fiduciary Rule Upheld in Texas Federal Court
• February 8 2017 - Trump Orders a Review of Dodd-Frank & The DOL’s Fiduciary Rule
• February 6 2017 - What does the Presidential Memorandum mean for the DOL rule?
• February 2 2017 - Surprise! DOL Rolls Out a Second Set of FAQs and Clarifies Its Position on 12b-1 Fees
• January 6 2017 - Compliance Alert: Publication of Transactions and Quotations Update
• December 14 2016 - Will the DOL’s New Fiduciary Rule Require That I Take the Series 65 or Series 66?
• December 13 2016 - FinCEN’s Final Rule Gathers Momentum Amidst DOL Distraction
• November 15 2016 - How will the election results affect the DOL’s new fiduciary rule?
• November 9 2016 - Common Misconceptions about the New DOL Rules
• October 31 2016 - Representatives Can Fill a Need that Every Retail Client Has!
• October 20 2016 - Third-party Examinations of Investment Advisers on the Horizon
• October 17 2016 - Quizzes — A Great Learning Tool That Should Not Be Overused
• October 13 2016 - Investment Firms Pay the Price for Using Boilerplate Disclosures
• September 16 2016 - AML Red Flags: The Clues to Combating Illegal Activity
• September 15 2016 - What Advisers Need to Know to Comply with the SEC’s New Form ADV Amendments
• September 6 2016 - Newly Proposed SEC Rule May Have Far-Reaching Impact on Investment Advisers
• August 30 2016 - 88 Million Participating in 500,000 401(k) Plans in the U.S.!
• August 17 2016 - Series 63 NASAA Exam Update
• August 17 2016 - Cybersecurity for Reps & Clients
• August 8 2016 - 401 (k) Plans
• August 4 2016 - Post-Series 7 Students: Take Your Career to the Next Level!
• July 29 2016 - Big Changes for Reps Who Work with Retirement Plans
• July 20 2016 - Series 7 Exam Prep Tutorial – FINRA Rules & Regulations
• July 19 2016 - Series 7 Exam Prep Tutorial – Municipal Bonds
• July 14 2016 - Series 7 Exam Prep Tutorial – Options
• June 29 2016 - Avoid Failure to Supervise Claims
• June 16 2016 - Supervision and Surveillance
• June 2 2016 - Testing Centers: The Mysteries Unveiled
• June 1 2016 - Cybersecurity for Representatives and Clients
• June 1 2016 - The Devil You Know Is Better Than the Devil You Don’t

Press releases

• February 2 2023 - COMPLY adds new capabilities and offerings to help compliance teams meet growing number of regulatory requirements
• January 17 2023 - COMPLY adds technology, operations and finance expertise to expanded leadership team as it accelerates growth and integration strategy
• November 8 2022 - COMPLYSCI, RIA IN A BOX, NRS AND ILLUMIS TO OPERATE AS COMPLY
• June 23 2022 - IAA AND NRS INVESTMENT ADVISER INDUSTRY SNAPSHOT CONFIRMS SECTOR GROWTH OF 16.7% YEAR-OVER-YEAR
• October 21 2021 - ComplySci Acquires NRS – An Advanced Provider of Compliance and Regulatory Consulting, Education and Technology for Financial Services Companies
• June 28 2021 - Investment Adviser Industry Defies Pandemic and Grows for 9th Consecutive Year
• November 10 2020 - Investment Adviser Industry Saw Records in 2019, According to New Evolution Revolution Report
• September 12 2019 - Investment Adviser Sector Continues Growth with Record High RAUM and Number of Clients
• May 14 2019 - Chalice Partners with NRS to Enhance Solutions for Advisors.
• September 6 2018 - IAA and NRS Study finds investment adviser profession a strong economic driver
• March 6 2018 - National Regulatory Services and Fortress Information Security join forces to help businesses tackle cybersecurity compliance
• August 1 2017 - IAA and NRS 17th Annual Evolution Revolution Study
• October 5 2016 - NRS Acquires Fire Solutions
• August 23 2016 - NRS and IAA’s 16th Annual Evolution Revolution Study
• October 7 2015 - National Regulatory Services (NRS) releases the first Advertising Review system with bi-directional AREF integration
• August 11 2015 - NRS and Fox Financial Planning Network: AdvisorTouch Symphony
• May 27 2015 - National Regulatory Services Releases cMAX Customer Complaints Module
• March 10 2015 - SEC Approves Consolidated FINRA Regarding Background Checks
• October 13 2014 - NRS and IAA’s 14th Annual Evolution/Revolution Study Spotlights Diversity of U.S. Investment Advisory Profession
• April 14 2014 - National Regulatory Services Releases Personal Securities Trading Module for NRS ComplianceGuardian™
• January 9 2014 - Rep Insight Module Automates Registration and Supervision of Registered Reps and Advisers for FINRA Compliance
• October 3 2013 - NRS and IAA Releases 13th Annual Evolution/Revolution
• September 5 2013 - National Regulatory Services Releases Enhanced Calendar for NRS ComplianceGuardian
• May 20 2013 - National Regulatory Services Introduces Continuing Education Module v2.0
• January 24 2013 - National Regulatory Services Enhances Its Communications and Advertising Review Solution
• November 1 2011 - Reed Business Information Completes Acquisition of Accuity
• August 30 2011 - NRS and IAA Release 11th Edition of Evolution Revolution
• November 18 2010 - Introducing the NRS ComplianceGuardian Form ADV Architect Module
• June 3 2010 - Pershing’s Affiliate, iNautix, Expands Its Suite of Compliance Solutions for Introducing Broker-Dealers
• May 25 2010 - NRS Introduces an Exclusive and Unrivaled Compliance Technology Solution for Advertising and Communications Review
• March 26 2009 - Accuity and National Regulatory Services integrate management teams