NSCP Member Bulletin

NSCP Provides Response to FINRA’s Request for Comment Re: Regulatory Notice 18-08

The National Society of Compliance Professionals (“NSCP”) submits this letter in response to the request by the Financial Industry Regulatory Authority, Inc. (“FINRA”) for comments on a proposed new rule (the “Proposal”) to address the outside business activities of registered persons.

NSCP responded to particular questions posed by FINRA’s Regulatory Notice 18-08. Our response reflects the views of engaged NSCP members who provided feedback to NSCP in response to the Proposal.

NSCP would like to acknowledge Glen Barrentine for his instrumental efforts in coordinating and drafting this response on behalf of NSCP and its membership.

READ OUR FULL RESPONSE