Welcome Charles Schwab Visitors

National Regulatory Services stands ready to help with starting up your firm and to remain your compliance partner with ongoing compliance support. We offer services that will give you the tools you need to succeed including:

  • Registration Services
    Includes an array of services ranging from compliance organization and startup counseling to assistance with drafting compliance program policies and the development of a business continuity plan.
  • Legal Services
    Through our partnership with BakerHostetler, NRS can help you form your LLC, develop HR materials, and provide additional al-a-carte services including legal reviews of your most critical agreements.
  • Technology Solutions
    NRS’s ComplianceGuardian allows firms to cover their compliance fundamentals. Tried and tested at some of the world’s top Investment Adviser firms, the solution addresses numerous needs including the development of policies and procedures, and can also keep you up-to-date on critical compliance issues.
  • Ongoing Support (Consulting Services)
    NRS is your compliance partner; providing you with the ongoing support you need including telephone and on-site support, administration of your IARD renewal notice filings, and compliance design and testing, so that you can continue to focus on growing your firm.

Learn more about the packages we offer by contacting us below, or by calling (860) 435-0200. Mention the discount code SVJ4 to receive a special discount as a Charles Schwab visitor.