NSCP Quarterly Member Bulletin: Third Quarter 2020

A Look at What We Accomplished Together in the Third Quarter of 2020

As the third quarter of 2020 concludes, we want to reflect on the many accomplishments of our Members and Volunteers over the past three months.

So what happened?

Our members discussed these topics in the Compliance Forum:  

  • Special assistance with Series 65 and Series 7
  • IA compliance requirements for political contributions
  • P&Ps surrounding text messages

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

  • Fraudsters using registered representatives names to establish imposter websites
  • SEC changes definition of accredited investor
  • Fake FINRA website

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

  • Exam trends for municipal advisors
  • The proposed fund valuation rule

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.