What Happened When NSCP Met with Regulators?

Over the past several months, NSCP representatives held ten meetings with FINRA, the SEC and NASAA. These meetings gave NSCP representatives the opportunity to express NSCP members’ regulatory, examination, and enforcement concerns, both on the federal and state level.  The meetings also provided an opportunity for FINRA, the SEC and NASAA to share their current regulatory priorities.

We have written summaries for each meeting in order to share our efforts with NSCP members on their behalf as well as provide insight into current regulatory undertakings.

Please do not hesitate to contact NSCP staff if you have any questions regarding the meetings.

NSCP representatives met with following regulatory bodies:

  • SEC Commissioner Elad Roisman
  • SEC Division of Investment Management
  • SEC Division of Enforcement
  • SEC Office of the Advocate for Small Business Capital Formation
  • FINRA Office of Financial Innovation
  • FINRA and Security Industry Oversight Program (FSIO)
  • National American Securities Administrators Association (NASAA)
  • OCIE

Become a member today to read our extensive, informative, and comprehensive summaries of these meetings!