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

Register for Regulatory Interchange Webinars – Free for Members!

Featuring Regulators from:
FINRA – March 9th
SEC – May 11th
DOL – June 8th
NASAA – July 20th

Receive insight and understanding directly from regulatory speakers on important compliance topics.

NSCP Members attend for free – but must pre-register for each event! Non-member registration is $100.

NSCP’s Diversity & Inclusion Committee Wants to Help You

NSCP Diversity and Inclusion

The Diversity and Inclusion Committee is gathering information anonymously from NSCP membership about your firm’s diversity, equity and inclusion (“DEI”) initiatives, interests and needs. Our goal is to use your firm’s information to determine where our membership is with their DEI initiatives and interests and to determine ways in which NSCP and our Diversity and Inclusion Committee are able to assist you in implementing DEI programs in your firm. Thank you for taking to the time to participate in this five-minute survey.

Don’t Miss Our February 18 and April 21 Seminars!

• February 18 (1pm EST) – “Make it Matter: Effective Risk Management”
• April 21 (1pm EST) – “Incorporating SEC & FINRA Exam Priorities into Your Compliance Program”

Valuable content with practical application for your compliance program. Though on different dates, these two seminars are packaged at one registration price.

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 who are new to the securities compliance industry by offering educational tools to enhance their knowledge and skill sets.

Paul B. Uhlenhop, Prominent Financial Services Attorney and Long-Time NSCP Member Dies at Age 84

It is with great sadness that we inform you of the passing of Paul B. Uhlenhop. Paul was a member of NSCP for over 30 years. He was a staunch supporter of NSCP and the financial services compliance industry. Paul volunteered endless hours to NSCP participating and chairing several committees, writing for NSCP’s monthly publication, NSCP Currents, and sharing his expertise and knowledge as a frequent speaker at NSCP conferences.

In 2015, Paul received the Joan Hinchman Award as recognition of his contributions to NSCP and advocacy efforts on behalf of financial services compliance professionals.

Above all, Paul was a caring, generous and respectful man. We will sorely miss him being part of our community.

Read the press release >

Two Virtual Seminars for One Low Price

February 18 & April 21

*The SEC & FINRA Exam Priorities session has been postponed from February 18 to April 21 since the 2021 examination priorities have not yet been released.   Registrants will have access to attend both sessions.

Diversity and Inclusion in Financial Services: February 9

Over the past year, the National Association of Black Compliance and Risk Management Professionals and the National Society of Compliance Professionals have contributed to the ongoing conversation related to diversity, equity and inclusion in the financial services industry. As we enter 2021, we are working to build on the progress made over this past year and to turn it into lasting change.