Tag Archive: Compliance


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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April 28 – May 1, 2019 - Event

NRS Spring 2019 Compliance Conference

This conference has passed. Please visit our Fall 2019 Compliance Conference page for details on our upcoming conference. Come to Orlando, home of the most magical place on earth, for compliance education and peer interaction. Join NRS at our Spring 2019 Compliance Conference where industry experts will address how investment adviser and broker-dealer firms can […]
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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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