NSCP Membership Terms & Conditions

The following are not eligible for NSCP membership: Regulators Members of the Press Recruiting Firms

Membership is open only to financial securities professionals employed in a compliance-related capacity by one of the following:

  • broker-dealer
  • investment adviser
  • dual registrant
  • investment company
  • private fund / hedge fund
  • municipal advisor
  • pension fund
  • fintech firm
  • bank
  • insurance company
  • legal firm
  • accounting firm
  • financial services compliance consultant*

Student Membership

NSCP Student Membership is available to students in NSCP’s CSCP program as well as students enrolled full-time at an academic institution.

Group Membership 

Group membership is an agreement between the firm and NSCP and therefore the initial dues and renewal fees must be managed by a designated firm representative. All memberships within the group membership agreement will be activated upon a communication by the firm’s designated representative and the representative will be responsible for maintaining an accurate member list and should notify NSCP should an individual listed under the group membership leave the firm or is no longer eligible for membership with the group. Those individuals can be substituted at any time within the group membership. Please visit NSCP Group Membership for further details.

Important Notice regarding securities compliance consulting firms:

You must have a firm name. You cannot leave a firm name blank or use “Consultant for [name of another firm].”

Occasionally, NSCP is unable to verify a consultant’s practice beyond a firm name, phone number or an e-mail address. In the absence of verifiable employment or existing consultancy, NSCP asks that independent consultants submit a non-consultant industry reference to membership@nscp.org.

This may be:

  1. a current, active NSCP member, or
  2. a representative of the firm/organization with which you were most recently