NSCP Quarterly Member Bulletin

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

As the second 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:  

  • Unannounced branch exams
  • Business concerns in lieu of COVID-19
  • Form CRS for state registered RIAs

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

  • FINRA warns of fraudulent phishing emails purporting to be from FINRA
  • Insider trading case against private equity firm
  • FINRA guidance on remote location supervision

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

  • Regulatory relief from the SEC and MSRB
  • SEC enforcements/exams and COVID-19
NSCP hosted the 2020 Virtual Spring Conference in April 2020. We also opened registration for our 2020 National Conference!

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.