Facilitates periodic discussions and exchange of ideas among NSCP members regarding regulatory issues relevant to broker-dealers. Virtual discussions are held on the first Wednesday of each month at 2pm ET.  Recordings are available to all NSCP members for review after each call.

Promotes diversity, equity and inclusion in the compliance profession.

The DEI Forum meets virtually every other month on the second Tuesday at 12:00pm ET.

The Emerging Leaders Forum is intended for compliance professionals and service providers who are newer (10 years or less) or returning to the financial services compliance profession; however, all NSCP members are welcome. The Emerging Leaders Forum holds quarterly virtual meetings with guest speakers to address topics identified by NSCP members as important to their professional development.

Facilitates periodic discussions and exchange of ideas among NSCP members regarding regulatory issues relevant to investment advisers. Virtual discussions are held on the first Thursday of every month at 12pm ET.  Recordings are available to all NSCP members for review after each call.

Facilitates a forum for the periodic discussion and exchange of ideas among NSCP members regarding regulatory issues relevant to private funds, hedge funds, and private equity firms. Virtual discussions are held quarterly on the third Wednesday of the month at 1pm ET.  Recordings are available to all NSCP members for review after each call.

Monthly virtual meetings will review any relevant developments relating to the DOL Fiduciary Rule and serve as a live forum for the discussion of members’ questions about implementation of the rule as they work toward the compliance effective date(s).

The Marketing Rule Working Group was originally created to serve as a live forum for the discussion of members’ questions about implementation of the new marketing rule as they worked toward the November 4, 2022 compliance effective date. The Marketing Rule Working Group now meets virtually as needed, to review any relevant updates or Risk Alerts associated with the rule.

Monthly virtual meetings will review any relevant developments relating to the new PF Rule and serve as a live forum for the discussion of members’ questions about implementation of the rule as they work toward the compliance effective date(s).