2019 NSCP National Conference: Registration Opening Soon!

Your opportunity to meet over 800 fellow compliance professionals happens at the annual NSCP National Conference, this October 21-23 at the Baltimore Hilton in Maryland.

You’ll find essential compliance topics to enhance your skills and knowledge; participate in our most sought-after lab sessions; and learn from our inspirational and insightful keynote speakers.

Stay tuned – you’ll be hearing from us soon!

We’d Like to Hear About Your Experiences With 2019 Examinations and Regulatory Coordinators

In preparation for NSCP’s meeting with FINRA Executive Management in June, FINRA has requested NSCP member feedback, positive or negative, regarding their 2019 examination experience and/or experiences with Regulatory Coordinators.

If you would like to provide feedback, on an anonymous basis, please leave your comments on NSCP’s MemberVoice portal. If you feel comfortable doing so, please include which FINRA District Office conducted your examination.

Register for the 2019 NSCP Spring Conference & Regulatory Interchange April 30 & May 1 in Chicago

Early Bird Discount Available Until March 29th

Save $165 by registering to attend both the NSCP Spring Conference and the Regulatory Interchange (April 30 – May 1) in Chicago.

Spring Conference Rates*:
Members $375  |  Non-members $570
(*higher rates after March 29th)

Regulatory Interchange Rates:
Members $75  |  Non-members $150

$40 Discount will be applied if attending both events

Don’t Miss the NSCP Regulatory Interchange with the SEC & FINRA

April 2, 2019 in New York City:
Members $75.00  |  Non Members $150.00


The NSCP Regulatory Interchange will provide an informal setting for industry professionals to ask questions and share concerns with the regulators and fellow attendees.

Facilitated by industry professionals, attendees will meet and discuss those issues most pressing to them, before they meet with the SEC & FINRA regulators. Don’t miss this opportunity to network with both your peers and regulators!

*This event is closed to members of the press.

Listen to the latest NSCP Currents Podcast

This month’s feature Podcast is Brad Anderson & Craig Watanabe’s “Business Email Compromise (“BEC”).”

You can listen and subscribe at the following podcast outlets. We look forward to your comments and reviews!


Apple iTunes    |    Google Play    |    Stitcher

NSCP Currents Podcast is also available on Spotify. If you have an account, just search “NSCP” and subscribe today.

NSCP 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:
  • FINRA’s 529 Share Class initiative
  • FINRA’s 2019 Annual Risk Monitoring and Examinations Priorities letter SEC brings charges in Edgar Hacking case
Beyond that, our members are discussing these topics:
  • Email Review – Access to Executive Management Emails
  • Social Media Archiving
  • Accepting Trades Via Email
It’s amazing what we can accomplish when we crowdsource the collective expertise from peers. Join the conversation. Join us.

Women in Compliance – Tuesday, March 19 in New York City

Join us as we honor International Women’s Day with a candid discussion on the issues facing women and their firms in the compliance industry, including gender gaps in earnings and advancement, work achievement, and opportunities. Hear from a panel of women with diverse backgrounds in compliance on how they have overcome roadblocks in their careers. Our compliance panelists will be joined by an executive coach that works with women to accelerate their career success. Gain insight and practical advice to help you to succeed in yours.

The Insights You’re Seeking – Delivered by the Experts You Trust

Join us at the NSCP Chicago Spring Conference on April 30, for a full day training event offering a variety of industry hot topics geared for both new and seasoned compliance professionals.

Date: April 30, 2019  |  8:30AM – 5:00 PM

Location: Federal Reserve Bank of Chicago
230 South LaSalle Street
Chicago, IL 60604

Sign up for the NSCP Canadian Compliance Roundtable

Tuesday, March 26, 2019 from 2:00–4:00pm

Sign up for the National Society of Compliance Professionals Canadian Compliance Roundtable meeting, intended for compliance professionals whose firms are registered in both Canada and the United States. Facilitated by leading industry practitioners, the roundtable will provide in-depth discussion on critically important U.S. regulations and practical applications to assist participants with their compliance programs.

Prior to the meeting, we are asking for questions to present to the speakers. Please include your questions during your registration or send them via email to Michele Voytek at michele@nscp.org

Date: Tuesday, March 26, 2019  |  2:00 PM – 4:00 PM

Location: Borden Ladner Gervais LLP
Bay Adelaide Centre, East Tower, 22 Adelaide St W.
Toronto, ONT Canada M5H 4E3

Fees: No cost, but space is limited – register ASAP
Virtual attendance is available

Purchase a MemberAlly Sponsor Package for Premium Benefits.

Gold, Silver and Bronze levels are still available, but time is running out. Secure your priority exhibit placement by Friday, February 15th.

The NSCP MemberALLY Premium Sponsorship program embraces the spirit of partnership for up to twelve (12) partners each year with Gold, Silver and Bronze levels available.

Demonstrate your support for NSCP throughout the year by becoming a MemberALLY.  Our scaled packages offer:

  • Sponsorship recognition
  • Attendance at NSCP Spring Conferences & Regulatory Interchanges
  • Recognition as a MemberALLY exhibitor
  • First choice of booth selection for the NSCP National Conference
  • Exclusive advertising feature on NSCP’s conference website
  • Gold, Silver and Bronze levels are still available.