Hear from SEC, FINRA and DOL Regulators On the Topics that Matter Most to You
Register Now! NSCP Midwest Regulatory Interchange – Virtual July 24th (9:00 AM – 12:15 PM Mountain Time)
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Entries by Michael DeMartin
We’ve Enlisted the Best Speakers
Register for the 2020 Virtual NSCP Conference now to hear these compliance experts share valuable information and practical tools. Check out our full line-up of conference speakers on the agenda.
NSCP Quarterly Member Bulletin
A Look at What We Accomplished Together in the Second Quarter of 2020 As the second 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? Our members discussed these topics in the Compliance Forum: Unannounced branch exams Business concerns in lieu of COVID-19 […]
Join Our CSCP Program!
NSCP is 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 will be granted the CSCP designation offered by NSCP.
The Denver 2020 Regulatory Interchange is Now Virtual!
Join us on July 24, 9:00 am –12:15 pm Don’t miss our NSCP Regulatory Interchange with the SEC, DOL & FINRA: The NSCP Regulatory Interchange will provide an informal virtual setting for Investment Adviser, Private Fund and Broker-Dealer industry professionals to hear from the regulators and ask questions. Click below for more information and to […]
Save $100 on the 2020 NSCP National Conference Registration – Special Rate Ends June 14th
Participate in this Virtual Conference from the comfort, convenience and safety of your own home or office. October 19–21, 2020
A Message from NSCP’s Executive Director and Board Chair
NSCP as an organization is committed to diversity and inclusion. The Staff and Leadership of the NSCP are saddened and distressed by the events of the past week and stand against discrimination, systemic racism, and bigotry of any kind. This organization’s motto – For Compliance, By Compliance – underlies our commitment to inclusion across race, gender, age, […]
June 18 Webinar: How to Navigate Regulatory Change During a Pandemic
Don’t Miss Our Upcoming Webinar: How to Navigate Regulatory Change During a Pandemic Join us on June 18th at 2:00pm ET As the pandemic drags the economy into recession, multiple federal agencies – including the Federal Reserve, the Federal Deposit Insurance Corporation, and the Consumer Financial Protection Bureau – have pledged to help businesses survive the downturn. […]
June 16th Webinar: New Focus Areas and How Compliance Programs Need to Change for 2020
Don’t Miss Our Upcoming Webinar – Forward Thinking: New Focus Areas and How Compliance Programs Need to Change for 2020 Join us on June 16 at 2:00pm ET Sheltering-in policies have required firms to work remotely and adjust the way they communicate with their clients – and each other. Join James Smith, Senior Compliance Consultant, Core […]
NSCP National Conference is Virtual! Register today for Lowest Rates
Participate in this Virtual Conference from the comfort, convenience and safety of your own home or office. October 19–21, 2020. Offer available until June 14th.
