1. TM
ComplianceMAX
Small Business ComplianceTM
The Challenge With SBC™ you have total control over your Benefits
compliance program because you manage the
Small-to-medium firms face the same Complete compliance program from one
system. Maintain your hierarchy of branches •
regulatory requirements as large firms, but source
and users, and schedule compliance
without the benefits of their resources and Centralized management of your firm’s
assignments with a few mouse clicks. Powerful •
economies of scale. They struggle with compliance program and related activities
reports keep you informed and compliance
incompatible products from multiple vendors, Improved overall compliance oversight
workflow queues allow you to “manage by •
conflicting advice and an inability to efficiently Increased productivity
exception.” •
track and monitor compliance activities. The • Lower overall costs
result is lost productivity, higher costs and SBC™ includes a monthly compliance program • Eliminates unnecessary paperwork
increased regulatory exposure. called Resources™, Firm Element Training, • Reduces burden on associated persons
Compliance Forms & Disclosures and essential • Predictable and affordable cost
The Solution CCO tools & utilities.
Designed with your business in mind, NRS- Compliance has never been this easy or
ComplianceMAX Small Business Compliance™ affordable.
(SBC™) provides your firm with all of the
functionality of an enterprise compliance
system without the cost or complexity.
Consolidate all of your registered rep data and
compliance activities through a single web-
based compliance workstation, manage your
monthly compliance calendar, assign and track
firm element training, manage annual
disclosures and conduct audits all through
Small Business Compliance™.
To reach us, visit our website at
www.nrs-inc.com or call us at 1.888.879.7990

2. ResourcesTM Compliance Forms & Disclosures CCO Tools & Utilities
Systematic compliance program including: Now you can stop the inefficient ad-hoc review Add the NRS-ComplianceMAXTM on-line audit
and monitoring of the activities of your tools to round out your complete compliance
• Monthly compliance workbooks
associated persons through e-mail, paper program, including:
• On-line Business Continuity Plan
forms and spreadsheets. With SBC™ you have
• On-line Policies & Procedures • AML Independent Test Self Audit
unlimited use of the NRS-ComplianceMAXTM
• Model Forms and Documents Library • 3012 Gap Analysis Workbook
on-line predefined forms, including:
• ObservationsTM—our quarterly newsletter • Detached Office (RR) Self Audit
• Web seminars on regulatory initiatives • Outside Business Activities • More in development!
• Personal Investment Accounts
Firm Element Training • Private Securities Transactions
• Annual Attestations
Unlimited use of the NRS Firm Element • Advertising and Customer Complaints
Training Library for your Registered Reps, plus
custom courses can be written if needed.
The NRS compliance training courses can be
accessed anytime by your registered
representatives from an internet connected
computer with a standard web browser. Their
customized compliance portal alerts them to
any new assignments and tracks their progress
in real-time.
Managing and overseeing your training has
never been easier. A powerful real-time
reporting engine provides compliance
managers with progress and status reports for
each user. You will know in real-time which
registered reps have started, finished or are
overdue on their assignments.