NSCP Industry Forum Insights

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:

  • FINRA Cybersecurity Call
  • SEC Risk Alert on Privacy Issues
  • D.C. Circuit Court’s opinion in the Robare case

Beyond that, our members are discussing these topics:

  • Unbilled/Excluded Assets for managed accounts
  • Branch vs. individual representative inspections
  • Implications of temporary administrative help in branch offices

It’s amazing what we can accomplish when we crowdsource the collective expertise from peers. Join the conversation. Join us.