Expertise You Can Count On
National Regulatory Services provides a comprehensive suite of regulatory services, covering everything from registration to auditing and complete outsourcing programs.

Our clients range from small Advisers and Broker-Dealers to national Broker-Dealers with thousands of branch offices. We have designed our services to fit any size business and our commitment to excellence is consistent for all.

National Regulatory Services provides an unparalleled breadth of services backed by expertise you can trust.

Customized Consulting
We recognize that our clients often have needs that require a custom solution. Our experienced consultants are on call to assist with employee training, policies and procedures, and customized technology solutions. Our professional staff has extensive knowledge and experience in the industry. Not only do we have individuals with a depth of experience in NASD and SEC regulations, but we have the real world experience of industry executives, supervisors and traders, and operations specialists. Our staff knows the compliance industry first hand and understands compliance in the context of your business needs.

National Regulatory Services creates compliance solutions and strategies custom tailored to address your regulatory needs. We partner with our clients to build a compliance program that will strike a balance between people and technology.

Consulting Expertise
National Regulatory Services has a team of compliance professionals ready and available to help you address your regulatory issues. They are trained and managed by the ComplianceMAX Institute, staffed by regulatory subject-matter experts. No matter how simple or how complicated your needs are, rest assured that we will bring the highest level of expertise and professionalism to address your needs.

Our consultants are available on an as-needed basis, or they can be retained for larger projects or as part of a comprehensive outsourced compliance program.