Entries by Michael DeMartin

NSCP Industry Forum November 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 Regulatory Notice 19-35: BD and IA renewals for 2020 Cybersecurity alert: Cloud-based email account takeovers SEC issues FAQs regarding disclosure of certain financial conflicts related to Investment Adviser compensation Beyond […]

Coming Soon: Our New CSCP Program!

The only designation for both Broker-Dealers and Investment Advisers Beginning in January 2020, NSCP will be offering a restructured Certified Securities Compliance Professional (CSCP) program in partnership with the University of St. Thomas. CSCP is a graduate-level program for experienced financial services professionals. Upon completion of the academic course and the CSCP certification examination, candidates […]

The SEC’s Standard of Conduct Rules – Important Considerations and Best Practices

Don’t miss this Webinar on Wednesday, December 11th from 1:00pm–2:00pm EST Join Bloomberg Law analysts Peter Rasmussen, Preston Brewer, Patty Tehrani, and former NY DFS superintendent, Maria T. Vullo, for a webinar on the SEC’s standards of advice package (including Reg BI, Form CRS, and related efforts). The panelists will also discuss best interest efforts focusing on New York’s Insurance Regulation 187 […]

Impact of Current State Regulatory Initiatives on Your Practice: “Speaking from the Other Side”

Don’t miss this Webinar on Tuesday, December 3rd from 2:00pm–3:00pm EST Four former state securities regulators, who met while working together through NASAA, will discuss current state law initiatives. Join us to learn what you need to know for your practice or in-house compliance responsibilities. Topics will include: The standards of care debate: Regulation BI, State and NASAA […]

Demonstrate Your Expertise: Submit an Article to NSCP Currents!

Are you interested in having your company featured in front of thousands of legal and compliance professionals next month? Do you want to help take your career to the next level? Get your name out there and show off your industry expertise by submitting an article to NSCP Currents! The Publications Committee is currently seeking commentary […]

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: SEC “cherry picking” case against CCO Adviser improperly charged fees to inactive accounts NASAA annual enforcement report Beyond that, our members are discussing these topics: State blue sky registration […]

Introducing Proxfinity: Our New Networking Tool

Leave the National Conference feeling like you learned more than you ever thought possible and created relationships to last a lifetime. Have you ever wanted to start a conversation with someone at an event, but didn’t know what to say? Have you wanted to make a long-lasting, memorable impression with a fellow industry professional? This […]

Quarterly Member Bulletin

Third Quarter 2019: NSCP in Action As the third quarter of 2019 concludes, we want to reflect on the many accomplishments of our Members and Volunteers over the past three months. So what happened? Our members discussed these topics in the Compliance Forum: CC broker statements Annual compliance meeting and training suggestions Personal securities transactions reporting […]