“BEST RATE” Available through June 30th for 2021 NSCP National Conference

Now is the Best Time to Register for the 2021 NSCP National Conference!

November 8th –10th at the Gaylord National, National Harbor, MD

Don’t miss out:

  • In-person learning and networking
  • Valuable content for all learning levels
  • Panels, labs and talk group sessions
  • Best value with lowest rates
  • No cancellation penalty before October 15th

Registration is Now Open for the 2021 NSCP National Conference

November 8th-10th In National Harbor, MD

Register by June 30th to take advantage of the Best Rate. Group Discounts available for 3 or more registering together.

Don’t Miss Our Last Virtual Educational Seminars of the Spring – June 22!

June 22nd Seminars: Compliance Technology / SEC Advertising Rule


SESSION 1: If You Build It, They Will Come: Leveraging Compliance Technology & Automation

This session will address how technology and automation are revolutionizing the compliance industry.  Attendees will learn how to evaluate various offerings and align their capabilities with their firm’s compliance requirements to replace manual processes.  This session will also discuss the impact of new technologies on compliance, such as machine learning and artificial intelligence.
Learning Objectives:

  • Understand which processes lend themselves well to automation and which do not
  • Learn how to evaluate compliance software and make smart buying decisions
  • Learn the causes of failed implementations and how to avoid them
  • Appreciate how technology is evolving and the impact this will have on compliance


SESSION 2: Sharing Solutions: Implementing The New SEC Advertising Rule

The SEC’s revised Advertising and Cash Solicitation Rules withdraw dozens of prior no-action letters and well-established guidance and impose detailed conditions on an adviser’s ability to advertise certain types of performance and require that firms develop and implement a new supervisory and compliance infrastructure to comply.  This session is a deep dive into the revised, principles-based rule and its impact on performance advertising and risk mitigation controls. Attendees are expected to have a basic understanding of the new rule.
Learning Objectives:

  • Review the Advertising Rule and its effect on existing no-action letters and precedents
  • Learn how to adapt your policies and procedures to comply with the revised rule
  • Analyze the effect of the rule on performance advertisements, such as disclosure requirements and GIPS compliance, and the use of back-tested and hypothetical performance
  • Discuss the expanded scope of the Cash Solicitation Rule and its impact on placement agent activities

NSCP National Conference: In-Person November 8-10

We Can’t Wait to See You In-Person at the 2021 NSCP National Conference

November 8-10, 2021
Gaylord National
National Harbor, Maryland

Here’s a sneak peek at our agenda and rates. Registration to open in early June.



NSCP Quarterly Member Bulletin: First Quarter 2021

A Look at What We Accomplished Together in the First Quarter of 2021

NSCP in Action

As the first quarter of 2021 concludes, we want to reflect on the many accomplishments of our Members and Volunteers over the past three months.

So what happened?

Our updated Events website features upcoming 2021 NSCP Educational Seminars and Regulatory Interchanges. Learn more about these events featuring descriptions, speaker info and more.

Our members discussed these topics in the Compliance Forum: 

  • Client Commission Arrangements under Section 28(e) of the Exchange Act
  • Mutual Fund Share Class Analysis
  • Foreign Language E.comm Surveillance and Expert Network Chaperoning
  • SEC Focusing on IRA Distributions During Examination
  • State Registration of Supervisors

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

  • Social Media Archiving & Employee Individual Pages
  • Offering an ‘Unsubscribe’ Option in Marketing Emails
  • New Advertising, Marketing and Solicitation Rules. Allowing Paid Endorsements and Testimonials.

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

  • ERA Converting to SEC Registrant – To File or Not To File Form PF?
  • SEC Releases 2021 Examination Priorities

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.

NSCP Celebrates Women’s History Month 2021

March commemorated the observance and celebration of the vital role of women in American history. NSCP honors this month by sharing leadership lessons and workplace insights that Compliance professionals everywhere can learn and grow. There have been numerous books written on successful women in the financial services industry.  The books referenced below exemplify a small sampling and are not intended as recommendations by NSCP’s Diversity and Inclusion Committee.

Time Management:

Drop The Ball
Achieving More By Doing Less
By Tiffany Dufu

Buy at Amazon.com


Workplace Dynamics:

The Likeability Trap
How to Break Free and Succeed as You Are
By Alicia Menendez

Buy at Amazon.com


Communications Skills:

Radical Candor
By Kim Scott

Buy at Amazon.com




Everything Is Figureoutable
By Marie Forleo

Buy at Amazon.com



Leadership Lessons:

Act Like a Leader, Think Like a Leader
By Herminia Ibarra

Buy at Amazon.com



Confidence Building:

Brave, Not Perfect
Fear Less, Fail More, and Live Bolder
By Reshma Saujani

Buy at Amazon.com


Advice for Managers:

The Making of a Manager
What To Do When Everyone Looks To You
By Julie Zhou

Buy at Amazon.com



Professional Troublemaker
The Fear-Fighter Manual
By Luvvie Ajayi Jones

Buy at Amazon.com


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 membership provides financial services compliance professionals with a wide range of resources including a community of like-minded peers, continuing education to further their knowledge and specialized skills, and regulatory involvement through representation of compliance interests.

NSCP Events You Don’t Want to Miss!

Gain valuable insight and practical tools
to enhance your compliance skills.

Be Our Guest at the New NSCP Blockchain & Fintech Roundtable

NSCP Invites You to Join Our First Virtual Meeting:
May 18th at 12:30 PM Eastern
(3rd Tuesday, Monthly for NSCP Members)

Compliance for the future of finance.
April focus: SEC Risk Alert regarding digital assets & recent enforcement cases.

NSCP Members and Guests (for a limited time) will receive:

  • Benchmarking & candid Q&A
  • Insights into regulatory expectations
  • Help with implementation challenges
  • Regulator education via NCSP credibility & network

Strengthen Your Compliance Program By Attending These Two Virtual Sessions

March 18th (1-4 PM, EST)

Gain knowledge, insight and practical tools
from industry experts sharing their
wisdom and best practices with you!

March Madness – Register for NSCP Seminars and Webinars

March 9:
Regulatory Interchange Webinar
Featuring FINRA

March 18:
Educational Seminars on:
Conflicts of Interest
Hot Topics in Compliance

Register now to reserve your seat for these two virtual events