The National Society of Compliance Professionals is a nonprofit, membership organization dedicated to serving and supporting the compliance professional in the financial services industry. NSCP is for compliance, by compliance. NSCP membership provides financial services compliance professionals with a wide range of resources including a community of like-minded peers, continuing education to further their knowledge and specialized skills, and regulatory involvement through representation of compliance interests.
Become A Member & Unleash Your Full Potential
Discover the wealth of compliance expertise and best practices in the pages of our regular publications, member center, forums and through networking with your fellow peers.
2020 NSCP Upcoming Events
Save the Date for Upcoming Events:
- October 19-21: NSCP National Conference – Virtual
- December 3: NSCP Northeast Regulatory Interchange – Virtual
NSCP Jobline
A Valuable Resource For The Compliance Professional
Free to members, compliance openings may be posted for up to 30 days, and resumes may be posted for up to six months.
We’ve launched the NSCP MemberVoice, an anonymous and safe avenue for our Members to share their thoughts, stories, and experiences with regulators, and issues in complying with financial services regulatory requirements.
NSCP News & Updates:
A confirmed registration to the NSCP National Conference. Give the gift of education to yourself.
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A Look at What We Accomplished Together in the Third Quarter of 2020
As the third quarter of 2020 concludes, we want to reflect on the many accomplishments of our Members and Volunteers over the past three months. So what happened?
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Our members discussed these topics in the Compliance Forum:
- Special assistance with Series 65 and Series 7
- IA compliance requirements for political contributions
- P&Ps surrounding text messages
- Fraudsters using registered representatives names to establish imposter websites
- SEC changes definition of accredited investor
- Fake FINRA website
- Exam trends for municipal advisors
- The proposed fund valuation rule
Take a sneak peek at the latest edition of Currents to learn more about this year's virtual NSCP National Conference!
NSCP Currents is the premier compliance publication of the financial services industry. Available exclusively to NSCP members, we are delighted to share our 2020 NSCP National Conference special issue with you. Read more about the exciting things happening at this year's virtual conference. We hope you will join us October 19-21! [av_button label='READ NOW' link='manually,https://national.nscpconferences.org/wp-content/uploads/NSCP-Currents-August-2020-FINAL.pdf' link_target='_blank' size='small' position='left' icon_select='no' icon='ue800' font='entypo-fontello' color='theme-color' custom_bg='#444444' custom_font='#ffffff' custom_class='' admin_preview_bg='']Register for the Conference >
Maximize your savings and your educational opportunities at the NSCP National Conference this year with our Group pricing.
Whether you’re new to the role or a seasoned industry veteran, the 2020 Virtual NSCP National Conference provides an invaluable professional development opportunity for the whole team. If you register for a group of 3 or more at the same time, you can take advantage of our significant registration discount of just $500 per person. Not enough people at your firm to make a group? Don’t worry: a group can be made up of people from different firms! *Please note, to be eligible for these rates, groups must contain a minimum of three attendees and register together. [av_button label='REGISTER NOW' link='manually,https://national.nscpconferences.org/fees-2/' link_target='' size='small' position='left' icon_select='no' icon='ue800' font='entypo-fontello' color='theme-color' custom_bg='#444444' custom_font='#ffffff' custom_class='' admin_preview_bg='']
