Visit the New NSCP Store!

Shop NSCP-branded merchandise, including T-shirts, caps and hoodies.

Visit the new NSCP store and select fine apparel and merchandise to be shipped directly to you. We hope to see you at the 2021 NSCP National Conference, November 8-10, wearing the latest trends in compliance!

Benefits of Attending the NSCP National Conference

Need a Break from the Daily Grind? Get Re-energized and Inspired at the 2021 NSCP National Conference! November 8-10 in National Harbor, MD

  1. Hear directly from the regulators
  2. Expand your knowledge and find practical solutions
  3. Sharpen and apply your skills in interactive lab sessions
  4. Exchange thoughts and best practices in talk group sessions
  5. Learn about the newest compliance solutions and tools in our exhibit hall
  6. Build your network – meet experts, make new friends and find potential mentors

The NSCP National Conference provides unique learning, networking, and community building opportunities that you can’t find anywhere else.

We can’t wait to see you there!

Two Ways to Save: Group Rate or Become-a-Member Rate

Maximize your savings and your educational opportunities at the 2021 NSCP National Conference November 8-10, 2021, at the Gaylord National Hotel in National Harbor, MD

Come one, come all – but if you come in a group of 3 or more, take advantage of our discount rate at $1,050 per person.

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

The best value for non-members is the Become-a-Member rate which is the member rate plus a $50 discount off of a 1 year NSCP membership.

So many benefits, so many reasons to join and save!

Customize your Agenda to Suit Your Educational Needs

There’s Something for Everyone!

  • Broker-Dealers
  • Investment Advisers
  • Investment Companies
  • Municipal Advisors
  • Private Funds

Choose from 65 value-packed compliance sessions on topics such as:

  • The DOL Rule
  • Financial Forensics
  • Ethical Best Practices
  • Data Privacy and Trends
  • Performance Advertising Rules
    Protecting Our Most Vulnerable Client
  • Managing CCO Liability in Uncertain Times
  • How to Detect and Prevent Manipulative Trading
  • Advisers Act Compliance for Private Fund Managers
  • Preparation for Disasters and Other Unexpected Events
  • The Impact of FinTech & RegTech on Compliance Programs
  • When Reporting Compliance Issues up the Chain Doesn’t Work
  • And much, much more…

Explore the Agenda and Get to Know Our National Conference Speakers

Hear industry professionals share their best practices and offer practical guidance for compliance topics that matter most to you!

“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.