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 events

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.

 

 

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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 the members of the ad hoc Comment Letter Committee for their time in preparing the comment letter on behalf of NSCP members.

Genna Garver, Partner, Troutman Sanders LLP (Chair)
Jeffrey Blumberg, Partner, Faegre Drinker Biddle & Reath LLP
Michelle Canela, Director, Compliance, Intech Investment Management LLC
Steven Hansen Esq., Morgan Lewis & Bockius LLP
Mitzie Pierre, Chief Compliance Officer, IFM Investors

If you are interested in volunteering to assist with writing future comment letters, please login to the NSCP MemberCenter and join our Forums and Committees today.

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 and discuss the issues most pressing to them before meeting with regulators.

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 enhance their knowledge and skill sets within the compliance industry.

 

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 meet and discuss the issues most pressing to them before meeting with regulators.

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 and see if it’s a good fit for you?

Speakers:

  • Lisa Crossley: Executive Director, NSCP
  • Bruce Karpati: Member, Global Chief Compliance Officer, KKR
  • Melissa Loner: Chief Compliance Officer at Independent Financial Partners (IFP)

 

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 the issues most pressing to them.