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.

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.

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.

The DOL Fiduciary Rule Working Group was formed in 2024 and originally met regularly to review any relevant developments relating to the DOL Fiduciary Rule and to serve as a live forum for the discussion of members’ questions about implementation of the rule as they worked toward the compliance effective date(s). The DOL Fiduciary Rule Working Group now meets on an as needed basis only, and will reconvene if necessary to review any relevant updates associated with the rule.