The industry’s source for the thoughtful analysis of current events
NSCP Members have just wrapped up another monthly touchpoint with our Broker-Dealer and Investment Advisor Forums regarding:
- Regulation Best Interest
- Form CRS
- SEC Concept release on private offerings
Beyond that, our members are discussing these topics:
- Software to detect insider trading, frontrunning, and for COE attestation
- Books – gifts or advertising?
- Who does the CCO report to?
It’s amazing what we can accomplish when we crowdsource the collective expertise from peers. Join the conversation. Join us.