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Alan Price

Specials warehouse

Work history

  • NRS

    Specials warehouseCurrent
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LocationUnited States, Portsmouth, New Hampshire

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NRS is now COMPLYfinancial services · 310 employees · Salisbury, United States

Description

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.

LocationSalisbury, Connecticut, United States, 29 Brook St

Industryfinancial services

Employees310

Founded at1984

LinkedInlinkedin.com/company/nrs

Keywords
investment adviser compliance
brokerdealer compliance
hedge fund & private fund compliance
investment company compliance
blue sky compliance
investment adviser certified compliance professional program
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 & attestations
gifts & entertainment
finra rule 3220
msrb g20
on demand compliance education

Employee trends

This chart shows the total number of employees over time.

0.0%
6 Month Growth
-4.2%
1 Year Growth
-14.8%
2 Year Growth
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