Technology solutions: Robust, flexible, scalable
Designed to be the backbone of your firm’s compliance infrastructure, NRS technology solutions keep you confidently in compliance as rules and regulations change. Leverage one or any combination of our products to streamline processes, track activities, archive information and be audit-ready. Our technology products are modular, scalable and informed by NRS expert compliance professionals.
Choose NRS and let our experts become your experts
We understand your challenges.
With a team of former compliance professionals and regulators, we know what it takes to build a culture of compliance.
We have our finger on the pulse.
We provide continuous insight and applicable best practice solutions to tackle timely regulatory issues with dozens of live and on-demand events throughout the year.
We are your partner.
For more than 30 years we have been the nation’s leader in compliance and registration products and services for financial services firms, helping guide our clients’ compliance strategy, minimize risk and lower costs.
Compliance program management
Keep your firm in compliance today and in the future with a platform that combines leading compliance software, the latest expert content, continuing education and advanced regulatory consulting.
ComplianceGuardian RepTracker
Collecting and maintaining registration and licensing information for registered representatives is vital to the success of compliance programs. Isn’t it time you had access to the kind of real-time data you need to make informed compliance decisions?
Form CRS Tool
Generate a firm-specific document with a profile driven solution. Available as a standalone solution or as a part of your current subscription, step-by-step, the Form CRS tool establishes a profile for your firm, allowing you to generate a Form CRS as unique as your firm.
Stay in compliance with ease
On-boarding is fast and guided by NRS’ expert compliance professionals. You will be confident that your compliance data is clean and correct from the start. Our software is easy-to-use and pre-empts issues through clear calendaring, notifications and flagging. Our content has been developed by leading industry compliance professionals — with experience working in the private sector and for regulatory bodies.
null
Expeditiously develop compliance manuals
Review ads and other marketing material
Track registrations, disclosures and more
Cultivate a compliance culture with consulting and educational resources
Why us
null
We are your backstop.
For more than 30 years we have been the nation’s leader in compliance and registration products and services for financial services firms, helping guide our clients’ compliance strategy, minimize risk and lower costs.
We have our finger on the pulse.
We provide continuous insight and applicable best practice solutions to tackle timely regulatory issues with dozens of live and on-demand events throughout the year.
We understand your challenges.
With a team of former compliance professionals and regulators, we know what it takes to build a culture of compliance.
Frequently Asked Questions
How does NRS’ ComplianceGuardian Registration and Licensing (RepTracker) support reps and associated individuals?
How does NRS’ ComplianceGuardian Registration and Licensing (RepTracker) support compliance managers?
Is ComplianceGuardian designed for broker-dealers?
Is ComplianceGuardian designed for investment advisers?
What is a Form ADV 2B and why would a compliance professional have to file one?
What is included in the ComplianceGuardian platform?
