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.