Entries by Sonya Reeve

Registration for the NSCP National Conference has Opened

Investment adviser representatives play an important role in the financial lives of millions of Americans, yet unlike most financial services professionals they are not independently required to meet a continuing education requirement to maintain their licenses to work with investors.

JH Award Nominations due 6/1

Investment adviser representatives play an important role in the financial lives of millions of Americans, yet unlike most financial services professionals they are not independently required to meet a continuing education requirement to maintain their licenses to work with investors.

NSCP Currents: Podcast Episode Alert

Just in time for Form ADV Updates, tune in to our most recent episode “The Sides of “May”: When is “May” Deemed False and Misleading” by Elizabeth M. Knoblock and Patricia Flynn.

NSCP Member Bulletin

Investment adviser representatives play an important role in the financial lives of millions of Americans, yet unlike most financial services professionals they are not independently required to meet a continuing education requirement to maintain their licenses to work with investors.

MemberVoice: NSCP is meeting with SEC Chairman, Jay Clayton…

The SEC’s recently announced share class initiative is a dramatic new step in the SEC’s ongoing scrutiny regarding recommendations of mutual funds by registered investment advisers. Firms will want to consider whether they are eligible and wish to take advantage of the Initiative and self-report violations.

NSCP Quarterly Member Bulletin: A Look Back at Q1

Investment adviser representatives play an important role in the financial lives of millions of Americans, yet unlike most financial services professionals they are not independently required to meet a continuing education requirement to maintain their licenses to work with investors.

NSCP Currents: Podcast Episode Alert

Just in time for Form ADV Updates, tune in to our most recent episode “The Sides of “May”: When is “May” Deemed False and Misleading” by Elizabeth M. Knoblock and Patricia Flynn.