NSCP News & Updates
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.
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.
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