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:

  • SEC “cherry picking” case against CCO
  • Adviser improperly charged fees to inactive accounts
  • NASAA annual enforcement report
Beyond that, our members are discussing these topics:
  • State blue sky registration
  • Annual due inquiry under Custody Rule
  • Approval for outside business activities

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