NSCP Member Bulletin

NSCP Regulatory Recap

Find out what was discussed when NSCP met with FINRA President and CEO Robert Cook last month.

On June 25, 2018 representatives of NSCP had the opportunity to conduct a follow up meeting with FINRA President and CEO Robert Cook, who was joined by representatives from Member Relations and Education, Member Supervision and Enforcement divisions.

Key conversation points included:

  • WORM Storage
  • Outside Business Activities & Private Securities Transactions
  • Remote Office Inspections
  • CE Program Options – Maintaining Qualifications
  • Technology Regulations
  • CCO Liability
  • Mutual Fund Share Class Disclosure Initiative

A complete summary of the meeting is available for all members.

FINRA PRESIDENT & CEO COOK SUMMARY: READ NOW