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GET https://www.nrs-inc.com

<form class="search-form" method="get" action="https://www.nrs-inc.com" role="search">
  <input class="search-input" type="search" name="s" placeholder="I'm looking for..." value="">
  <button class="search-submit" type="submit" role="button"><span class="sr-only">Search</span></button>
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GET https://www.nrs-inc.com

<form class="search-form" method="get" action="https://www.nrs-inc.com" role="search">
  <input class="search-input" type="search" name="s" placeholder="I'm looking for..." value="">
  <button class="search-submit" type="submit" role="button"><span class="sr-only">Search</span></button>
</form>

GET https://www.nrs-inc.com

<form class="search-form" method="get" action="https://www.nrs-inc.com" role="search">
  <input class="search-input" type="search" name="s" placeholder="I'm looking for..." value="">
  <button class="search-submit" type="submit" role="button"><span class="sr-only">Search</span></button>
</form>

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      * View our ComplianceGuardian™ Lookbook

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NRS ComplianceGuardian™

Streamline policy and procedure updates and manage employee compliance in one
simple solution

Learn more

--------------------------------------------------------------------------------

NATIONAL REGULATORY SERVICES IS NOW PART OF COMPLYSCI. LEARN MORE.

MASTER COMPLIANCE WITH GREATER CONFIDENCE.


FOR INVESTMENT ADVISERS

Compliance strategy delivered by experts in the financial services industry.

Browse Solutions For Investment Advisers


FOR BROKER-DEALERS

Proven experience to guide you through regulatory and compliance issues.

Browse Solutions For Broker-Dealers


FOR HEDGE FUND MANAGERS

Practical solutions to complex compliance and registration questions.

Browse Solutions For Hedge Fund Managers


FOR INVESTMENT COMPANIES

Manage compliance issues with greater confidence and confidentiality.

Browse Solutions For Investment Companies


NRS SPRING 2022 COMPLIANCE CONFERENCE


LOEWS PORTOFINO BAY HOTEL
UNIVERSAL ORLANDO, FL.



MAY 16-19, 2022

Join NRS at our Spring 2022 Compliance Conference for Investment Advisers and
Broker Dealers, where industry experts will address ways to successfully
navigate the disruptive currents of regulatory change and adapt procedures to
compliance programs.

Click here to register


UPCOMING EVENTS

FEBRUARY 15, 2022
1:00 PM - 3:00 PM EST
$240


ADVISERS ACT ANTI-FRAUD RULES: CUSTODY, POLITICAL CONTRIBUTIONS, SOLICITORS AND
PROXY VOTING REQUIREMENTS

FEBRUARY 17, 2022
1:00 PM - 3:00 PM EST
$240


COMPLIANCE PROGRAMS RULES AND STRATEGIES FOR MANAGING YOUR ANNUAL REVIEW

MARCH 8, 2022
1:00 PM - 3:00 PM EST


INVESTMENT ADVISER PERFORMANCE AND ADVERTISING

View All Events


INDUSTRY PERSPECTIVES


INVESTMENT ADVISER INDUSTRY SNAPSHOT 2021 – EVOLUTION REVOLUTION REIMAGINED

Defying the challenges posed by the pandemic, the investment adviser industry
continued to experience record-breaking growth with close to 14,000 Security and
Exchange Commission (SEC) Registered Investment Advisers (RIAs) managing $110
trillion in assets for 60.8 million clients.

Download the Whitepaper


COMPLIMENTARY WEBINAR: PRACTICAL GUIDANCE ON SEC FOCUS AREAS AND PREPARATION
POINTERS

Watch this complimentary webinar which provides an overview on SEC focus areas
and preparation pointers to ensure your compliance operations stand up to
continued SEC scrutiny.

Watch the recording


THE LATEST FROM NRS

APRIL 1 2021 - NRS INSIGHTS


IMPLEMENT EFFECTIVE POLICIES AND PROCEDURES TO COMPLY WITH THE SEC’S MARKETING
RULE

On December 22, 2020, the U.S. Securities and Exchange Commission (SEC) adopted
amendments (the final rule) to Rule 206(4)-1 under the Investment Advisers Act
of 1940 (the Advisers Act) to modernize the regulation of investment adviser
advertising and solicitation practices.
Find out more

FEBRUARY 22 2021 - NRS INSIGHTS


NEW ERISA PROHIBITED TRANSACTION EXEMPTION (PTE) EFFECTIVE FEBRUARY 16

The US Department of Labor (DOL) announced that Prohibited Transaction Exemption
(PTE) 2020-02, which governs conduct by 3(21) ERISA fiduciaries (generally those
who provide non-discretionary advice for a fee), took effect on February 16,
2021. (Under Section 4975 of the Internal Revenue Code, this also applies to
persons who provide non-discretionary advice to IRAs.)
Find out more

OCTOBER 8 2019 - RESOURCE


VIEW OUR COMPLIANCEGUARDIAN LOOKBOOK

Introducing the new and improved ComplianceGuardian™ for Investment Advisers and
Broker-Dealers. Check out our lookbook to see our latest improvements.
Read full article


READY TO LEARN MORE ABOUT OUR SOLUTIONS?

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--------------------------------------------------------------------------------


WHAT WE DO

 * What We Do Overview
 * For Broker-Dealers
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TECHNOLOGY

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EDUCATION

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INSIGHTS

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ABOUT

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NRS on LinkedIn NRS on Twitter
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   * ComplianceGuardian™
 * Consulting
   * Consulting Overview
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   * On-site or Remote Compliance Reviews
   * Outsourced Partnerships
   * Registration Services
   * Regulation Best Interest (Reg BI) Services
 * Education
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   * Events Calendar
   * Continuing Education
   * Investment Adviser Certified Compliance Professional
 * Insights
   * NRS E-newsletter
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   * Resources
   * Product Announcements
 * About
   * About Overview
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   * Blue Sky Solution System
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