Still Unsure About Attending?

Take a sneak peek at the latest edition of Currents to learn more about this year’s virtual NSCP National Conference! NSCP Currents is the premier compliance publication of the financial services industry. Available exclusively to NSCP members, we are delighted to share our 2020 NSCP National Conference special issue with you. Read more about the exciting things happening at this […]

There are Still Ways to Save Money for the Upcoming 2020 Virtual NSCP National Conference!

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 2020 Virtual NSCP National Conference provides an invaluable professional development opportunity for the whole team. If you register for a group of 3 or more […]

Forward Thinking: Senior Investor Protections, Regulatory Considerations and Best Practices

Join us on September 17th at 2:00pm ET Senior investors represent a high percentage of most firms’ assets under management. This group of investors has special considerations – from saving for retirement, the onset of potential health issues (such as dementia) and potential abuse from others (in the form of financial exploitation from relatives, cybercriminals and fraudsters). What […]

NSCP Membership Empowers You

Register for the NSCP 2020 National Conference and Become a Member Now for Savings on Both Conference Summer savings end August 31st – Register today and choose “Become a Member” to save $50 on Membership at the same time. Attend the only conference that is “For Compliance, By Compliance.” Become an NSCP member for full access […]

Last Chance to Save Money on Registration

Summer savings end August 31st – Don’t pay more than you have to! The only conference that’s “For Compliance, By Compliance” Connect and focus on the practical solutions to empower yourself and your compliance program

September 3 Webinar: Best Practices for Private Funds Compliance Programs as a Result of COVID-19 and Market Volatility.

Join us on September 3rd at 2:00pm ET According to the SEC, these are the heightened risk areas for Private Funds as a result of COVID-19 and market volatility: Business continuity plans Valuation of client assets Liquidity risk management Transactions with affiliates Side-by-side management Use of material non-public information SEC PF risk alert Join Tito Pombra, President […]

Sizzling Hot Summer Sale Ends August 31st

Save $100 by registering now for the NSCP National Conference before the rates increase.

September 14 NSCP Member Call

NSCP Member Call Series: Navigating the Regulatory Environment in Response to COVID-19 Join us on Monday, September 14th 5:30 pm ET / 2:30 pm PST NSCP’s next Member Call will take place on September 14, 2020 at 5:00 pm. We encourage our members to submit questions and/or agenda items to the NSCP MemberVoice portal. An email with additional details […]

Human Risk: Bringing Science to Compliance

Don’t miss former regulator and CCO Christian Hunt’s keynote address at the NSCP National Conference

Regulatory Keynote Speakers Announced – NSCP National Conference

Don’t Miss Hearing From Commissioner Hester Peirce and Robert Cook at the National Conference NSCP National Conference – Virtual October 19-21, 2020

DOL Fiduciary Proposal and Intersection with Other Standards of Conduct

Join us on August 10th at 2:00pm ET Join Eversheds Sutherland attorneys, Carol McClarnon and Issa Hanna, and Jeannie Lewis from William Blair as they review and discuss the DOL Fiduciary Proposal. These speakers will provide an update on the emerging patchwork of standards of conduct applicable to broker-dealers, investment advisers, insurance distributors and other intermediaries. The program will also include a […]

Monday August 3rd Member Call

Monday August 3rd Member Call: Navigating the Regulatory Environment in Response to COVID-19 Join us on Monday, August 3rd 5:30 pm ET / 2:30 pm PST In our continued effort to help members navigate the regulatory environment in light of COVID-19, NSCP is holding monthly member calls. Our next call is  Monday, August 3rd at 5:30 pm EST/2:30 pm […]

Forward Thinking: New Cybersecurity Considerations for 2020 and Beyond

Join us on August 4th at 2:00pm ET If there is one thing firms, the industry and the workforce learned from COVID-19, it is that remote capabilities and effective cybersecurity measures are now not only a benefit, but also a necessity during these unprecedented times of transition. As broker-dealers and registered investment advisers have had to transition […]

68 Sessions to Choose From at the NSCP National Conference

Gain practical tools and enhance your compliance skills in sessions facilitated by industry experts Here’s a sampling of our sessions for all industry areas: Creating Effective Oversight Structures Ethics of Technology Preparation for Disasters, Pandemics and Other Unexpected Events Protecting Vulnerable Adults Compliance Passport: Perspective Beyond the U.S. Borders Cultural Intelligence and Bias The Roles […]

Last Chance to Register – NSCP Midwest Regulatory Interchange on July 24

Register Now NSCP Midwest Regulatory Interchange – Virtual July 24th (9:00 AM – 12:15 PM Mountain Time) Hear SEC, FINRA and DOL Regulators address the compliance questions and topics that matter most to you.

NSCP July 28th Webinar at 2:00pm ET

Don’t Miss Our Upcoming Webinar:  What Do We Mean by Diversity and Inclusion, and Why it Matters to Compliance Professionals When employees are engaged and feel connected to an organization, they are more likely to embrace and uphold the culture of compliance. Unfortunately, recent studies have shown close to 70% of corporate workers feel disengaged […]

2 Ways to Save: Group Discount or Become-a-Member

NSCP National Conference  October 19-21, 2020 – Virtual Register with 3 or More Colleagues to get the Group Discount OR Save $50 on Annual NSCP Membership when you Register for the Conference This year’s NSCP Virtual National Conference promises insightful content, powerful presentations and virtual networking opportunities.  We want you to be a part of it! […]

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)

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.  

Investing During the Crisis: How Private Equity, Hedge Funds and Venture Funds Are Coping With Coronavirus

A Complimentary Webinar Co-Sponsored by Fox Rothschild Thursday, June 4, 2020 | 2 pm ET | 11 am PT The COVID-19 pandemic has prompted an increase in private equity, hedge fund and venture fund litigation and transactional issues for compliance professionals, investors and managers. Fox Rothschild’s Securities Industry Practice presents an informative webinar that explores current industry […]

Don’t Miss Our Upcoming Webinar: Data Governance and Ethics Best Practices

Join us on June 10 at 2:00pm ET Join us for a webinar covering the foundation of traditional and evolving privacy & data governance laws, recent enforcement cases, as well as governance trends that move beyond disclosures and notices into data mapping, building a program with data stewards and impact assessments so compliance officers are […]

NSCP’s National Conference is Going Virtual – Registration Will Open Soon!

Mark Your Calendar: October 19-21 (3 full days) 68 Educational Sessions with CE Credit Opportunities Online Networking Opportunities And Much More… Spring Special Rates will be offered the first two weeks of registration opening. Don’t miss these discount offers!

CSCP Fall Registration is Open!

Offering Broker-Dealer, Investment Advisers and Dual Registrant Certifications CSCP is an online graduate-level program offered in partnership with the University of St. Thomas for experienced financial services professionals. Upon completion of the academic course and the CSCP certification examination (BD, IA, BD/IA), candidates will be granted the CSCP designation offered by NSCP.

What to Disclose and When: SEC Corporate Filing in the Time of COVID-19

A Complimentary Webinar Co-Sponsored by NSCP Wednesday, May 13, 2020 | 2 pm ET | 11 am PT The coronavirus pandemic has presented corporate compliance professionals with unprecedented issues affecting disclosures, filings and other SEC requirements. As the deadline for submitting Form 10-Qs approaches for non-accelerated filers, understanding the guidance issued by the SEC will be […]

Heading for Higher Ground: How to Get Ready for the Securities Litigation Tsunami

A Complimentary Webinar Co-Sponsored by Fox Rothschild Join us on Wednesday, April 29, 2020 | 2 pm ET | 11 am PT. A potential economic downturn triggered by the COVID-19 outbreak could lead to a wave of securities litigation. Financial industry leaders should be taking steps now to achieve the best position for when the […]

The Next NSCP Member Call Will Take Place on Monday, April 27

Join us on April 27th at 5:30 pm ET / 2:30 pm PST In our continued effort to help members navigate the regulatory environment in light of COVID-19, NSCP is holding weekly member calls. Our next call is Monday April 27th at 5:30 pm EST/2:30 pm PST. NSCP members will have the opportunity to ask questions, share […]

Now Open: 2020 NSCP / ACA Compliance Cybersecurity Programs Survey

We’re pleased to announce that we’ve again partnered with the ACA Compliance to provide financial services firms with an opportunity to gain insight into cybersecurity compliance programs across the industry. We invite you to participate in our anonymous survey which aims to aggregate data on cybersecurity program implementation. The survey takes approximately 15 minutes to complete. Survey […]

NSCP Survey for Delay of Reg BI and Form CRS Implementation Date

A Message from NSCP Executive Director Lisa Crossley As many of you may have read, SEC Chairman, Jay Clayton, made a public statement this morning which included the SEC’s decision to not extend the compliance date for implementation of Regulation Best Interest and Form CRS. Chair Clayton stated, “…firms should continue to make good faith […]

Double Your CE Credits! NSCP Virtual Conference Expanded to 2 Days – April 20 – 21

No need to miss valuable breakout sessions when you can attend all of them. NSCP’s Virtual Conference will now be offered on both Monday, April 20 and Tuesday, April 21 so that attendees can receive even more continuing education credits toward their professional certification programs including CLE, CPE and CSCP*.  As an added value, NSCP […]

Don’t Miss Our Upcoming Webinar: Ensuring Business Continuity During the Coronavirus Crisis

Join us on April 9 at 2:00pm ET Join Joshua Horn, Fox Rothschild LLP; Ernie Badway, Fox Rothschild LLP; and David Zack, R. Seelaus for an informative discussion of how companies in the securities industry should prepare to effectuate business continuity policies during times of crisis, with a particular focus on the coronavirus and responding in the midst of an ongoing, […]

NSCP Member Call Series: Navigating the Regulatory Environment in Response to COVID-19

Join us on March 30th at 5:30 pm ET / 2:30 pm PST In our continued effort to help members navigate the regulatory environment in light of COVID-19, NSCP will be holding weekly member calls beginning Monday March 30th at 5:30 pm EST/2:30 pm PST. The calls will provide NSCP members the opportunity to ask questions, share […]

NSCP Goes Virtual! Join us for our Spring Conference April 20th

NSCP takes great pride in delivering quality education coupled with exemplary networking opportunities through our in-person events. However, due to the recent travel and meeting restrictions, NSCP’s Spring Conference on April 20 will go virtual. Good news! NSCP will continue to offer certificates of attendance for continuing education programs*, including CLE, CPE and CSCP, to attendees participating in the […]

Don’t Miss Our March 26th Webinar: BD – Creating Effective Supervision Structures

Join us on March 26th at 2:00pm EST This webinar will address the roles of compliance and supervision, and the potential pitfalls of having compliance perform supervisory functions. Centralized versus decentralized supervisory structures will be compared and contrasted. The discussion will then focus on factors specific to the business model and personnel that may favor […]

Register for the NSCP Spring Conference in Chicago on April 20

Don’t miss our coverage of the most relevant compliance topics! Emerging Regulatory Issues Keynote Panel Find out how compliance professionals are addressing key issues such as ESG, cannabis and various retirement topics in light of regulatory priorities from FINRA, SEC and DOL. Don’t Miss These Breakout Sessions: Proposed Amendments and Practical Applications to the Advertising Rules Legally […]

Listen to the Latest NSCP Podcast

Our latest podcast features a reading of the NSCP Currents article “Infusing Diversity & Inclusion Into Your Compliance Program,” written by Shachi Bhatt, Chief Compliance Officer at the Office of the NYC Comptroller. You can listen and subscribe at the following podcast outlets. We look forward to your comments and reviews! SUBSCRIBE & LISTEN TODAY: […]

Register now and save big for NSCP’s Chicago Spring Conference and Regulatory Interchange

Save $165 by registering to attend both the NSCP Spring Conference and the Regulatory Interchange in Chicago, April 20 & 21 Early Bird discount available through March 6th Spring Conference Rates*: Members $375  |  Non-members $575 (*higher rates after March 6th) Regulatory Interchange Rates: Members $75  |  Non-members $150 $40 Discount will be applied if attending both […]

The NSCP Affinity Program Provides Members Exclusive Discounts On Products And Services

Thank you to Compliance Solutions Strategies for being the first to sign up for the NSCP Affinity Program. See their 10% discount on their Form CRS Automator.     Not an NSCP Member? Learn about membership benefits & join today!

NSCP Submits Comment Letter on Proposed Advertising and Cash Solicitation Rules

NSCP has submitted a comment letter on proposed amendments to Rule 206(4)-1 (the Advertising Rule) and Rule 206(4)-3 (the Solicitation Rule) under the Investment Advisers Act of 1940. The comments relate to the obligations of Chief Compliance Officers under the proposed amendments to the Advertising and Solicitation Rules. NSCP would like to express its gratitude to […]

Join Our New CSCP Program!

NSCP is now 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.

Join us for four webinars based on National Conference sessions!

If you missed these sessions at the 2019 NSCP National Conference, please join us for four webinars based on conference sessions.  

Have You Registered for the 2020 Regulatory Interchange in Denver Yet?

Don’t miss this opportunity to interact with FINRA and SEC regulators and hear about the latest regulatory initiatives on March 18 in Denver, CO. The NSCP Regulatory Interchange will provide an informal setting for industry professionals to ask questions and share concerns with the regulators and fellow attendees. Facilitated by industry professionals, attendees will meet […]

Apply For the NSCP Compliance Scholarship Today

We have established the NSCP Compliance Education Scholarship in memory of those members who have passed. Their dedication and contributions make up the foundation of the NSCP organization and its continued success. The NSCP Compliance Education Scholarship is designed to benefit those professionals new to the securities compliance industry by offering educational tools to better […]

Have You Registered for the 2020 Regulatory Interchange on March 3 in Newport Beach Yet?

Don’t miss this opportunity to interact with FINRA and SEC regulators and hear about the latest regulatory initiatives on March 3 in Newport Beach, CA. The NSCP Regulatory Interchange will provide an informal setting for industry professionals to ask questions and share concerns with the regulators and fellow attendees. Facilitated by industry professionals, attendees will […]

Are you someone who would bring valuable experience, perspective and ideas to the NSCP Board of Directors?

Join us for an informational phone call on February 6 at 3:00pm EST. The Board needs broad representation of NSCP members to enrich its discussions, inquiries and decisions. Help NSCP’s Nominating Committee identify talented, energetic individuals who are qualified to assume a leadership role in the association. Want to learn about NSCP Board of Directors responsibilities […]

Register for the 2020 Regulatory Interchange in Newport Beach on March 3

Don’t miss this opportunity to interact with regulators and hear about the latest regulatory initiatives on March 3rd in Newport Beach, CA. The NSCP Regulatory Interchange will provide an informal setting for industry professionals to ask questions and share concerns with both FINRA and SEC regulators. Facilitated by industry professionals, attendees will meet and discuss […]

NSCP Volunteer Showcase: Participate Today!

Once upon a time, there was a misconception of what it meant to be a volunteer… Yes, while certain volunteer opportunities are project-based and may require a significant donation of time and energy, others are as simple as being engaged. NSCP’s industry forums are not just a member benefit. When you volunteer your time by participating in any of the […]

NSCP Can Help You With a Wide Range of Compliance Resources

The National Society of Compliance Professionals is a nonprofit, membership organization dedicated to serving and supporting the compliance professional in the financial services industry. NSCP is for compliance, by compliance.

NSCP In Action: Look Back: Fourth Quarter 2019

As the fourth 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: Annual due inquiry under Custody Rule Background checks on companies and individuals Naming private funds in Form ADV […]

Women in Compliance: Wednesday, January 22, 2020

Join us for a candid discussion on the issues facing women and their firms in the compliance industry, including gender gaps in earnings and advancement, work achievement, and opportunities. Hear from a panel of women with diverse backgrounds in compliance on how they have overcome roadblocks in their careers. Our compliance panelists will be joined […]

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 […]

NSCP Membership Cyber Monday Deal!

Get a 15% discount on NSCP Membership when you join today!

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 […]

It’s Not Too Late to Get Continuing Education Credits Before the End of the Year

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

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 […]

Empower Yourself!

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!  

The Early Bird Rate is Gone but There Are Still Ways to Save Big!

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 […]

What Happened When NSCP Met with Regulators?

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 […]

NSCP August 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 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 […]

Introducing Beth Haddock: Keynote Speaker at the NSCP National Conference

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 […]

Take Advantage of Our Group Rate Pricing

  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 […]

Introducing Dov Seidman: Keynote Speaker at the NSCP National Conference

For 25 years, Dov Seidman’s pioneering organization, LRN, has helped some of the world’s most respected companies build “do it right” winning cultures and inspire principled performance throughout their organizations. Seidman’s distinct vision of the world, business, human endeavor, and ethics and compliance has helped enable more than 25 million people doing business in more […]

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: Regulation Best Interest Form CRS SEC Concept release on private offerings Beyond that, our members are discussing these topics: Software to detect insider trading, frontrunning, and for COE attestation […]

Introducing Lee Rubin: Keynote Speaker at the NSCP National Conference

  Join us for our opening keynote address featuring Lee Rubin. Everyone is a player in the game of life, but Lee knows what it takes to win on a consistent basis. Drawing from his experience as a major collegiate athlete, corporate professional, and renowned speaker, Lee offers clear insights that communicate winning strategies and […]

Don’t Miss Our July 30th Webinar: “Enhancing Your Annual Review Process”

  Don’t miss this Webinar on Tuesday, July 30th from 2:00pm–3:00pm EST The Annual Review process can be tricky, especially when firms test and ensure their Policies and Procedures are comprehensive and detailed. While this mandatory process is daunting, it is essential for firms to confirm they have adjusted integral areas of their compliance program to their evolving […]

This year’s National Conference has a packed agenda, and we’ve enlisted the best speakers.

“For Compliance, by Compliance” Realized at the National Conference Check out our full line-up of conference speakers on the agenda.

Listen to the June NSCP Currents Podcast

This month’s feature Podcast is Janaya Moscony’s “The SEC’s Approach to Misconduct: Drawbacks and Benefits to Self Reporting.” You can listen and subscribe at the following podcast outlets. We look forward to your comments and reviews! SUBSCRIBE & LISTEN TODAY: Apple iTunes    |    Google Play    |    Stitcher NSCP Currents Podcast is also available on […]

Register Today: Labs are Going Quickly

The NSCP National Conference offers a unique and interactive learning environment in lab sessions, BUT, seating is limited… Labs are hands-on learning sessions designed to provide real life application where attendees engage in discussions, share their thoughts and experiences, and benefit from mutual learning. Labs are effective for stimulating a dynamic learning environment with active participation from attendees and […]

Only 125 Registrations Left at Our Spring Sale Rate

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.

NSCP’s Chicago Spring Conference is available for viewing – anytime, anywhere

Sessions now available to purchase individually. The recorded sessions from the NSCP Spring Conference that were held in Chicago on April 30th are now available for purchase. Materials and session videos are available in two options: Member Price: $55 per session or $300 for track A or B (6 sessions) Non-Member Price: $65 per session or $375 for track A or B (6 sessions) Track A:  Building Core Competencies – […]

Working Together for More Environmentally and Socially Responsible Conferences

We support Gag the Swag and hope you do as well! “Gag the Swag” is a recently formed group of buyers and sellers from global firms to start-ups, sharing a goal to find alternatives to environmentally and socially harmful ‘swag’. We’ve joined the conversation and are supporting their efforts at the 2019 NSCP National Conference, we invite you […]

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: FINRA Cybersecurity Call SEC Risk Alert on Privacy Issues D.C. Circuit Court’s opinion in the Robare case Beyond that, our members are discussing these topics: Unbilled/Excluded Assets for managed accounts Branch vs. […]

The NSCP National Conference is designed to suit your professional and educational needs

Take a look at our Day 2 Agenda Enhance your compliance skills, receive practical take-aways, gain insights into meaningful solutions, and make many new professional connections at the NSCP National Conference. Here’s a sneak peak at a few of our sessions on day 2 of the conference: Corporate Governance, Culture and Compliance Enforcement Issues ERISA:  Now and Into the Future Compliance Passport: Perspective […]

The NSCP National Conference is the Only Conference “For Compliance, By Compliance”

Take a look at our Day 1 Agenda The NSCP National Conference allows you to maximize the time you spend away from the office through comprehensive coverage of the topics that impact your daily business, practical take-aways, insights into meaningful solutions, and many opportunities for making new professional connections. Here’s a sneak peak at a […]

Apply For the NSCP Compliance Scholarship Today

We have established the NSCP Compliance Education Scholarship in memory of those members who have passed. Their dedication and contributions make up the foundation of the NSCP organization and its continued success. The NSCP Compliance Education Scholarship is designed to benefit those professionals new to the securities compliance industry by offering educational tools to better […]

NSCP Chicago Spring Conference Video Available to Purchase

The recording from the NSCP Spring Conference held in Chicago on April 30th is available to purchase. Included in this informative event are materials and the video from the following tracks: Track A:  Building Core Competencies – BD/IA Training for New Compliance Professionals Track B:  Today’s Issues and Insights – Coverage for Seasoned Professionals Member Recording Price:  $300 per […]

Everything You Want to Know About Business Development Companies

  Don’t miss this Webinar on Wednesday, May 8th from 2:00pm–3:00pm EST Join NSCP and Alaric Compliance Services, LLC for a free webinar discussion on business development companies, the second in our three-part series on Credit Products. The demand for alternative pooled and/or structured credit products such as Business Development Companies (BDCs), Collateralized Loan Obligation (CLO) […]

The NSCP Mentoring Program is available!

Become a Mentor or Mentee today! NSCP’s very own Craig Watanabe couldn’t have said it better during our Volunteer Showcase: “…NSCP is devoted to the development of compliance professionals. The Mentoring Program is a great compliment to the conferences, publications and other NSCP member benefits. However, mentoring holds the potential to be THE MOST beneficial […]

We’d Like to Hear About Your Experiences With 2019 Examinations and Regulatory Coordinators

In preparation for NSCP’s meeting with FINRA Executive Management in June, FINRA has requested NSCP member feedback, positive or negative, regarding their 2019 examination experience and/or experiences with Regulatory Coordinators. If you would like to provide feedback, on an anonymous basis, please leave your comments on NSCP’s MemberVoice portal. If you feel comfortable doing so, […]

Register for the 2019 NSCP Spring Conference & Regulatory Interchange April 30 & May 1 in Chicago

Early Bird Discount Available Until March 29th Save $165 by registering to attend both the NSCP Spring Conference and the Regulatory Interchange (April 30 – May 1) in Chicago. Spring Conference Rates*: Members $375  |  Non-members $570 (*higher rates after March 29th) Regulatory Interchange Rates: Members $75  |  Non-members $150 $40 Discount will be applied if attending both […]

Don’t Miss the NSCP Regulatory Interchange with the SEC & FINRA

April 2, 2019 in New York City: Members $75.00  |  Non Members $150.00   The NSCP Regulatory Interchange will provide an informal setting for industry professionals to ask questions and share concerns with the regulators and fellow attendees. Facilitated by industry professionals, attendees will meet and discuss those issues most pressing to them, before they […]

Listen to the latest NSCP Currents Podcast

This month’s feature Podcast is Brad Anderson & Craig Watanabe’s “Business Email Compromise (“BEC”).” You can listen and subscribe at the following podcast outlets. We look forward to your comments and reviews! SUBSCRIBE & LISTEN TODAY: Apple iTunes    |    Google Play    |    Stitcher NSCP Currents Podcast is also available on Spotify. If you […]

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: FINRA’s 529 Share Class initiative FINRA’s 2019 Annual Risk Monitoring and Examinations Priorities letter SEC brings charges in Edgar Hacking case Beyond that, our members are discussing these topics: Email Review – Access to Executive Management Emails Social Media […]

Women in Compliance – Tuesday, March 19 in New York City

Join us as we honor International Women’s Day with a candid discussion on the issues facing women and their firms in the compliance industry, including gender gaps in earnings and advancement, work achievement, and opportunities. Hear from a panel of women with diverse backgrounds in compliance on how they have overcome roadblocks in their careers. Our compliance […]

The Insights You’re Seeking – Delivered by the Experts You Trust

Join us at the NSCP Chicago Spring Conference on April 30, for a full day training event offering a variety of industry hot topics geared for both new and seasoned compliance professionals.

Sign up for the NSCP Canadian Compliance Roundtable

Sign up for the National Society of Compliance Professionals Canadian Compliance Roundtable meeting, intended for compliance professionals whose firms are registered in both Canada and the United States. Facilitated by leading industry practitioners, the roundtable will provide in-depth discussion on critically important U.S. regulations and practical applications to assist participants with their compliance programs.

Purchase a MemberAlly Sponsor Package for Premium Benefits.

Gold, Silver and Bronze levels are still available, but time is running out. Secure your priority exhibit placement by Friday, February 15th. The NSCP MemberALLY Premium Sponsorship program embraces the spirit of partnership for up to twelve (12) partners each year with Gold, Silver and Bronze levels available. Demonstrate your support for NSCP throughout the […]

Direct from SEC and FINRA Regulators to You.

Don’t miss your chance to connect with the SEC & FINRA in Miami on March 4, 2019 The NSCP Regulatory Interchange will provide an informal setting for industry professionals to ask questions and share concerns with the regulators and fellow attendees. Facilitated by industry professionals, attendees will meet and discuss those issues most pressing to […]

2018 Best of NSCP Currents Now Available to Members

The 2018 Best of Currents is now available. This new issues features a collection of highlights from the past year’s issues.

Register for our Regulatory Interchange in Miami on March 4, 2019

Register for our Regulatory Interchange in Miami on March 4, 2019 Don’t miss our NSCP Regulatory Interchange with the SEC & FINRA. The NSCP Regulatory Interchange will provide an informal setting for industry professionals to ask questions and share concerns with the regulators and fellow attendees. Facilitated by industry professionals, attendees will meet and discuss the […]

February 5th Webinar

Everything You Want to Know About Alternative Credit Funds Don’t miss this Webinar on Tuesday, February 5th from 2:00pm–3:00pm EST Join the National Society of Compliance Professionals (NSCP) and Alaric Compliance Services, LLC for a free webinar discussion on Alternative Credit Funds, the first in a series on Credit Products. The demand for alternative pooled and/or […]

February 8 Webinar

Cash Solicitation Rule for Investment Advisers – OCIE Risk Alert and Traps for the Unwary Don’t miss this Webinar on Friday, February 8th from 2:00pm–3:00pm EST NSCP and Hardin Compliance Consulting will host a lively discussion to include referral arrangements for investment advisers and traps for the unwary.  Join Jennifer Relien, General Counsel & Chief Compliance […]

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.

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 Quarterly Member Bulletin: A Look Back at Q3

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.

Don’t Miss This Year’s Luncheon Keynote Address

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.

Introducing Ric Edelman: Keynote Speaker at NSCP National

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.

Introducing Rashmi Airan: Keynote Speaker at NSCP National

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 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.

NSCP Quarterly Member Bulletin: A Look Back at Q2

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.

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 Webinars: 5/9 – The SEC’s Proposed Standard of Conduct Rules and Forms for Broker-Dealers and Investment Advisers

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.

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.

NSCP Webinars: 5/1 – Emerging Technologies – Existing Regulations

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.

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 Webinars: 4/10 – How To Manage Compliance Turnover And Remain Audit Ready

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.

View the recorded version of our Form ADV workshop

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 Webinars: 2/27 – SEC’s Share Class Selection Disclosure Initiative Webinar

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 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.

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 Events: Speakers Announced

Be heard. Your regional regulatory authorities assemble to field your questions, concerns and offer you the information you need to prepare for the year ahead.

2017 Best of Currents Now Available to Members

Members will receive NSCP Currents, the go-to resource for over 2,000 NSCP members and is positioned as the premier compliance publication of the financial services industry. The monthly journal features articles written by colleagues and other highly respected, industry professionals, tackling problems common to financial service firms.

NSCP Currents: Cybersecurity Special Issue

Each year, NSCP takes a moment to look back at the prior year and at the contributions that brought our publication, NSCP Currents to life. In 2017, one endless topic of conversation was Cybersecurity.

NSCP Member Bulletin

We’ve launched the NSCP MemberVoice, an anonymous and safe avenue for our Members to share their thoughts, stories, and experiences with regulators, and issues in complying with financial services regulatory requirements.

NSCP Events: Form ADV Seminar with Kirkland & Ellis

On February 6, 2018, in partnership with Kirkland & Ellis, NSCP sponsored a Form ADV Seminar for the Private Fund community in New York, which offered insights into the new Form ADV Requirements, common disclosure pitfalls, and practical application of best practices to avoid known mistakes.

NSCP Currents: Best of 2017

NSCP is pleased to release its annual edition of the Best of 2017 NSCP Currents; which showcases a collection of prior articles from the prior year.

NSCP Member Bulletin

Latest news from Fort Worth Regional Office caution Advisers on the use of “Canned Compliance Programs”. FORT WORTH PRIORITY PREVIEW CANNED COMPLIANCE PROGRAM” WARNING

NSCP Member Bulletin

FINRA aims to help small firms: The Financial Industry Regulatory Authority has debuted a toll-free help line to provide guidance to small financial firms on compliance matters. FINRA CEO Robert Cook said the Small Firm Helpline will “make it faster and easier for small firms to get answers.” MORE INFORMATION

NSCP Member Bulletin

FINRA Releases 2018 Examination Priorities. Complete release and details below. Have thoughts on this year’s focus areas, or wish to confidentially share a recent examination experience? We’ve launched the NSCP MemberVoice, an anonymous and safe avenue for our Members to share their thoughts, stories, and experiences with regulators, and issues in complying with financial services regulatory requirements. FINRA EXAM PRIORITIES SHARE YOUR […]

NSCP Currents: Podcast Episode Alert

Don’t miss our latest episode, “Branding Isn’t Just Marketing, Superpower Your Compliance Function” by Aimee R. Blinder, Vice President, Compliance at National Planning Holdings, Inc.