US Securities Industry Compliance

From SEC audits to blue sky filing, complying with regulatory demands and legislation in the United States is essential to your reputation and the protection of the public.

NRS provides you with the technology, education, and consultation services that allow you to efficiently meet your responsibilities while lowering costs and maximising productivity. We can design a custom solution set to meet your business’s specific needs.


NRS’s consultants—who average 21 years of industry experience—help clients better understand compliance regulations, assessing and reporting potential issues while offering corrective actions and resolutions for specific problems. Our professionals provide regulatory expertise to product development initiatives, serving as faculty for NRS events and establishing a sphere of expertise throughout the industry. In addition, NRS Compliance Outsourcing Services effectively add compliance professionals as an extension of clients’ staff.


NRS offers a comprehensive, customisable suite of web-enabled tools and services that help firms perform due diligence and provide maximum supervisory compliance oversight with less burden and overhead expense, including:

  • NRS ComplianceMax, the industry’s most advanced, fully integrated compliance management program providing custom-designed workflows and targeted solutions that address the challenges associated with each compliance process
  • NRS ComplianceGuardian, the most comprehensive product available to meet regulatory requirements for investment advisers, hedge funds, and broker-dealers
  • NRS Blue Sky Solution, which streamlines the blue sky filing and compliance monitoring process, improving the efficiency and accuracy of electronic filing


NRS ensures that new compliance requirements are integrated into clients’ operations and that routine procedures are updated to coincide with new or changing requirements, via our education services. NRS is the recognised industry leader in providing education through national and topic-specific conferences, online seminars, customised training, and compliance certification programs.

Take control of your compliance program with powerful solutions from NRS.