Tag Archive: SEC Regulation Best Interest
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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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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