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 year at the 2019 NSCP National Conference, we’re introducing a new way to network.

Proxfinity is a small device that attaches to your name badge and visually alerts you when you are within 5 to 10 feet of another participant who shares a common interest. Finding new friends and expanding your network of peers has never been easier or more rewarding!

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 for non-traders

Topics from our monthly Broker-Dealer and Investment Advisor Forum touchpoints included:

  • FINRA fines representative for impersonating a client in calls to mutual fund company
  • States announce new sweep on cryptocurrencies
  • FINRA requests comment on rules and issues relating to senior investors

This quarter’s Municipal Advisor and Private Funds Forum touchpoints discussed:

  • MSRB G-40 advertising implementation issues
  • Web-scraping: HIQLabs, Inc. v. LinkedIn Corp
  • New bill extending SOL

NSCP launched the Regulation Best Interest Working Group, a Member Center forum that meets biweekly to address requirements under the four prongs of the Regulation Best Interest Package.

NSCP also spent the third quarter preparing for this year’s NSCP National Conference in Baltimore from October 21-23! There’s still time to register!

As always – our priority is YOU. With the support of our working Committees, we are reviewing and redefining the experience our Members have on their professional journey. At our core, NSCP remains dedicated to creating a professional community,  “For Compliance – By Compliance.”

It’s amazing what we can accomplish when we crowdsource the collective expertise from peers. Join the conversation. Join Us.

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 or more, take advantage of our significant registration discount of just $950 per person.

Not enough people at your firm to make a group? Don’t worry: a group can be made up of people from different firms!

*Please note, to be eligible for these rates, groups must contain a minimum of three attendees and register togetherService providers are not eligible for the group rate.

 

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 regulatory priorities.

We have written summaries for each meeting in order to share our efforts with NSCP members on their behalf as well as provide insight into current regulatory undertakings.

Please contact the NSCP staff if you have any questions regarding the meetings.

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 disciplinary histories

Beyond that, our members are discussing these topics:

  • Outside business activities
  • Duplicate statements for compliance review
  • Marijuana related businesses

It’s amazing what we can accomplish when we crowdsource the collective expertise from peers. Join the conversation. Join us.

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 keynote, Beth will address “Compliance Reimagined: Why Influential Triple Bottom-Line Leaders Will Replace the Status Quo.” Learning objectives include why it’s time to reimagine the role of compliance as sustainable governance; what it means to deliver a sustainable Triple-Bottom Line compliance program; and how to deliver a Triple-Line of protection and increased productivity and impact.

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 more, take advantage of our significant registration discount of just $950 per person.

*Please note, to be eligible for these rates, groups must contain a minimum of three attendees and register together.