NSCP Quarterly Member Bulletin: First Quarter 2021

A Look at What We Accomplished Together in the First Quarter of 2021

NSCP in Action

As the first quarter of 2021 concludes, we want to reflect on the many accomplishments of our Members and Volunteers over the past three months.

So what happened?

Our updated Events website features upcoming 2021 NSCP Educational Seminars and Regulatory Interchanges. Learn more about these events featuring descriptions, speaker info and more.

Our members discussed these topics in the Compliance Forum: 

  • Client Commission Arrangements under Section 28(e) of the Exchange Act
  • Mutual Fund Share Class Analysis
  • Foreign Language E.comm Surveillance and Expert Network Chaperoning
  • SEC Focusing on IRA Distributions During Examination
  • State Registration of Supervisors

Topics from our monthly Broker-Dealer and Investment Advisor Forum touchpoints included:

  • Social Media Archiving & Employee Individual Pages
  • Offering an ‘Unsubscribe’ Option in Marketing Emails
  • New Advertising, Marketing and Solicitation Rules. Allowing Paid Endorsements and Testimonials.

This quarter’s Municipal Advisor and Private Funds Forum touchpoints discussed:

  • ERA Converting to SEC Registrant – To File or Not To File Form PF?
  • SEC Releases 2021 Examination Priorities

As always – our priority is YOU. With the support of our working Committees, we are reviewing and redefining the experience our Members have on their professional journey. At our core, NSCP remains dedicated to creating a professional community,  “For Compliance – By Compliance.”

It’s amazing what we can accomplish when we crowdsource the collective expertise from peers. Join the conversation. Join Us.