Entries by NSCP News

Two Ways to Save: Group Rate or Become-a-Member Rate

Maximize your savings and your educational opportunities at the 2021 NSCP National Conference November 8-10, 2021, at the Gaylord National Hotel in National Harbor, MD GROUP RATE: Come one, come all – but if you come in a group of 3 or more, take advantage of our discount rate at $1,050 per person. *Please note, […]

Customize your Agenda to Suit Your Educational Needs

There’s Something for Everyone! Broker-Dealers Investment Advisers Investment Companies Municipal Advisors Private Funds Choose from 65 value-packed compliance sessions on topics such as: The DOL Rule Financial Forensics Ethical Best Practices Data Privacy and Trends Performance Advertising Rules Protecting Our Most Vulnerable Client Managing CCO Liability in Uncertain Times How to Detect and Prevent Manipulative Trading […]

“BEST RATE” Available through June 30th for 2021 NSCP National Conference

Now is the Best Time to Register for the 2021 NSCP National Conference! November 8th –10th at the Gaylord National, National Harbor, MD Don’t miss out: In-person learning and networking Valuable content for all learning levels Panels, labs and talk group sessions Best value with lowest rates No cancellation penalty before October 15th

Don’t Miss Our Last Virtual Educational Seminars of the Spring – June 22!

June 22nd Seminars: Compliance Technology / SEC Advertising Rule   SESSION 1: If You Build It, They Will Come: Leveraging Compliance Technology & Automation This session will address how technology and automation are revolutionizing the compliance industry.  Attendees will learn how to evaluate various offerings and align their capabilities with their firm’s compliance requirements to […]

NSCP National Conference: In-Person November 8-10

We Can’t Wait to See You In-Person at the 2021 NSCP National Conference November 8-10, 2021 Gaylord National National Harbor, Maryland Here’s a sneak peek at our agenda and rates. Registration to open in early June. CHECK OUT THE 2021 EXHIBIT HALL >   

NSCP Quarterly Member Bulletin: First Quarter 2021

A Look at What We Accomplished Together in the First Quarter of 2021 NSCP in Action As the first quarter of 2021 concludes, we want to reflect on the many accomplishments of our Members and Volunteers over the past three months. So what happened? Our updated Events website features upcoming 2021 NSCP Educational Seminars and Regulatory Interchanges. […]

NSCP Celebrates Women’s History Month 2021

March commemorated the observance and celebration of the vital role of women in American history. NSCP honors this month by sharing leadership lessons and workplace insights that Compliance professionals everywhere can learn and grow. There have been numerous books written on successful women in the financial services industry.  The books referenced below exemplify a small […]