Register now for the NSCP National Conference. Check out the conference agenda for a wide variety of educational topics. 2019 NSCP National Conference Hilton Baltimore, Maryland October 21-23, 2019
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 […]
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 […]
Register now for the 2019 NSCP National Conference Be Inspired Grow in Knowledge Gain Practical Tools Make Meaningful Connections As an added benefit, you can get a professional headshot at our photo booth!
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 NSCP National Conference provides an invaluable professional development opportunity for the whole team. Come one, come all – but if you come in a group of 3 […]
Over the past several months, NSCP representatives held ten meetings with FINRA, the SEC and NASAA. These meetings gave NSCP representatives the opportunity to express NSCP members’ regulatory, examination, and enforcement concerns, both on the federal and state level. The meetings also provided an opportunity for FINRA, the SEC and NASAA to share their current […]
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 Retail Strategy Task Force to host roundtable on combating elder investor fraud SEC and FINRA statement on custody of digital assets OCIE risk alert on employing people with […]
Beth Haddock is a compliance executive specializing in building & managing governance programs. She is Managing Partner at Warburton Advisers, a boutique firm providing compliance consulting, coaching and micro-training videos. Beth is also the author of Triple Bottom-Line Compliance, How to Deliver Protection, Productivity and Impact and the host of a new podcast, “What’s Ethical?” In this […]
Our Early Bird rate ends August 30, so click below to register today!
Maximize your savings and your educational opportunities at the NSCP National Conference this year Whether you’re new to the role or a seasoned industry veteran, the NSCP National Conference provides an invaluable professional development opportunity for the whole team. Come one, come all – but if you come in a group of 3 or […]
