NRS is now COMPLY

NRS is now COMPLY

Financial Services

Lakeville, Connecticut 3,830 followers

Compliance Confidence

About us

National Regulatory Services (NRS) by COMPLY is an advanced solution and service offering for investment advisers, broker-dealers, hedge funds, investment companies, and insurance institutions. Meet the consulting and education partner for your compliance program, combining industry-leading expertise and real-world insight to help you stay up to date with the ever-changing regulatory landscape and minimize risk. NRS is part of the COMPLY portfolio of solutions, which addresses institutional and employee compliance for financial services organizations in the SMB, mid, and enterprise markets.

Industry
Financial Services
Company size
201-500 employees
Headquarters
Lakeville, Connecticut
Type
Public Company
Founded
1984
Specialties
Investment Adviser Compliance, Broker-Dealer Compliance, Hedge Fund and Private Fund Compliance, Investment Company Compliance, Blue Sky Compliance, Investment Adviser Certified Compliance Professional® Program (IACCP®), Form ADV, Regulation Best Interest, Form CRS, Form ADV Part 2b, Securities Licensing Exam Prep, Series Exam Prep, Investment Adviser Compliance Education, Broker Dealer Compliance Education, Compliance Annual Review, Cybersecurity, Anti Money Laundering Audit, Mock SEC Examination, Annual Updating Amendment, Blue Sky Permit Administration, Reg D Rule 506 Registration, Investment Adviser Registration, Broker Dealer Registration, Annual Compliance Meetings, Annual Compliance Questionairre, Firm Element Training, FINRA Education, Securities Industry Essentials, Series 6, Series 7, Series 9, Series 10, Series 24, Series 63, Series 65, Series 66, Advertising Review, FINRA Rule 2210, Branch Audit Technology, Disclosures and Attestations, Gifts and Entertainment, FINRA Rule 3220, MSRB G-20, and On Demand Compliance Education

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Employees at NRS is now COMPLY

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