NSCP In Action: Look Back: Fourth Quarter 2019

As the fourth quarter of 2019 concludes, we want to reflect on the many accomplishments of our Members and Volunteers over the past three months.

So what happened?

Our members discussed these topics in the Compliance Forum:

  • Annual due inquiry under Custody Rule
  • Background checks on companies and individuals
  • Naming private funds in Form ADV part 2A

Topics from our monthly Broker-Dealer and Investment Advisor Forum touchpoints included:

  • FINRA fines representative for impersonating a client in calls to mutual fund company
  • States announce new sweep on cryptocurrencies
  • FINRA requests comment on rules and issues relating to senior investors

This quarter’s Municipal Advisor and Private Funds Forum touchpoints discussed:

  • Changes at the MSRB
  • MSRB rule G-17
  • Web-scraping: HIQLabs, Inc. v. LinkedIn Corp.

NSCP launched the Small Firms Forum, a Member Center forum for industry professionals at small firms to discuss and ask questions.

NSCP hosted the 2019 National Conference in Baltimore, MD in October 2019. We also opened registration for our 2020 Spring events!

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.