Tag Archive: Best Execution


May 5 – 7, 2021 - Event

NAPFA Spring 2021 National Conference

Sign up for our complimentary demo during the conference to better understand how NRS ComplianceGuardian™ solution can help you maintain compliance fitness in the midst of uncertainty.
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October 28, 2020 - Event

2020 FINRA Small Firm Virtual Conference

As 2020 draws to a close, many Investment Adviser and Broker Dealer firms are reflecting on the current regulatory landscape and the impact of COVID-19 on their compliance operations.
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October 21 – 23, 2020 - Event

NAPFA Fall 2020 Conference

As 2020 draws to a close, many Investment Adviser and Broker Dealer firms are reflecting on the current regulatory landscape and the impact of COVID-19 on their compliance operations.
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October 19 – 21, 2020 - Event

2020 NSCP National Conference Exhibitor

As 2020 draws to a close, many Investment Adviser and Broker Dealer firms are reflecting on the current regulatory landscape and the impact of COVID-19 on their compliance operations.
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July 14 – 16, 2020 - Event

Virtual: Central Investment Adviser Certified Compliance Professional Program Symposium

Gain a foundation in IA Compliance and complete requirements for your IACCP® Designation
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Chicago skyline
July 16 – 18, 2019 - Event

Chicago Investment Adviser Compliance Symposium

NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.
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December 6, 2018 - Event

NRS 2018 Compliance Forum

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) often issues risk alerts to provide information on common deficiencies that their staff has cited in recent examinations of advisers.
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