Data Breach! What to Know About Where to Go by Louis Dempsey…[more]

NASAA 2016 Annual Meeting Reveals Partnerships and Progress by Louis Dempsey…[more]

AML for Advisers by Rick White…[more]

Registration Updates by Lisa Paygane and Kenneth Mendoza…[more]

RRS Year End Letter…[more]

“Florida Custody Rule” an RRS Research Services article by Rick White…[more]

“IA Identity Theft Red Flags Rule” an RRS Research Services article by Rayma Christy …[more]

 New RRS Service – Advertising Review Consulting Press Release…[more]

WEBINAR, Thursday 6/27/13 at 4 PM EST – “Learn How to Survive an SEC Exam and How We Can Help You Comply With The Custody Rule – Bart McDonald speaking.  Listen to Replay Here: [more]

“Net Cap Re-Cap” an RRS Research Services article by Kyle Boulton…[more]

“FINRA’s New Muscle – Amended Rule 8210” an RRS Research Services article by Harry Chaffee[more]

Preparing for a Regulatory Examination by Bart McDonald…[more]

“SEC vs State Registration of Investment Advisers” by Rick White…[more]

“Net Capital Compliance, Net Capital Reliance” an article by Kyle Boulton…[more]

“Significant Rule Changes Materially Affect FINRA Members” an article by John E. Pinto…[more]

“Your No. 4 duty: Being all over compliance issues that arise”…[more]

“Strategies for conquering the task ahead: A plain-English Part 2 brochure”…[more]

“Summertime is Here! Compliance Can Keep You Cool!”…[more]

“Live up to tasks WSPs assign to you or face consequences, case shows” Louis Dempsey Comments to BD Week regarding recent FINRA action…[more]