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.