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.