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Your firm is challenged to keep pace with an expansive regulatory environment while keeping a lid on costs. If you're like many of your industry peers, you're having trouble balancing it all because:

Regulatory compliance is increasingly complex

Consistency has never been harder to maintain

Your compliance costs are soaring

Your workforce is geographically distributed

Your producers are geographically distributed

   National Regulatory Services has built a suite of technologies and services designed to meet the challenge of todays regulatory environment. By utilizing our proprietary systems in your compliance program, you can achieve:
  • Increased Oversight through automation
  • Reduction in regulatory costs by eliminating inefficiencies
  • Achieve Consistency with repeatable, measurable results
Our solutions are designed by compliance professionals and built on the most advanced technologies in the market today. By leveraging our solutions in your compliance programs, your broker-dealer firm will realize gains in operational efficiency, oversight and increased employee satisfaction. Our products are built with your firm in mind, and our goal is to ease your compliance burden while improving your supervisory oversight.

Use the guide below to learn more about our compliance solutions for broker-dealers.

Auditing Services

Outsource your audit program to National Regulatory Services and improve your bottom line. Experience the scaleability and consistency of a national audit program backed by the industry's most powerful auditing technologies.

Field Audit Technologies

Designed by field auditors for field auditors - our mobile audit technologies will provide immediate and significant results. Your management and compliance personnel will be capable of achieving unprecedented productivity.

Web-Based (On-Line) Audits

Leverage technology to get more done with less. Your field audit program can be enhanced with technology-based "self-audits" to reach an unlimited number of offices at a fraction of the cost.
 
 

Outsourced Compliance Services

National Regulatory Services provides a comprehensive suite of compliance services, covering everything from specialized consulting services to complete outsourcing programs. National Regulatory Services provides an unparalleled breadth of services backed by expertise you can trust.

Compliance Forms Management

National Regulatory Services provides the industry's most advanced compliance forms management system designed to dramatically improve operational efficiencies by: eliminating costly paperwork; streamlining your operational processes; reducing the "paperwork-burden" on your associated persons; illuminated compliance "Red Flags."

Firm Element
Training is the backbone of every compliance program. Our compliance platform is the ideal training portal for firm element and offers these benefits: user-friendly browser interface; alerts/notifications of assignments; progress tracking; roll-up of management reports.
 
 
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