Quarterly Member Bulletin

Third Quarter 2019: NSCP in Action

As the third quarter of 2019 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:

  • CC broker statements
  • Annual compliance meeting and training suggestions
  • Personal securities transactions reporting for non-traders

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

  • FINRA fines representative for impersonating a client in calls to mutual fund company
  • States announce new sweep on cryptocurrencies
  • FINRA requests comment on rules and issues relating to senior investors

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

  • MSRB G-40 advertising implementation issues
  • Web-scraping: HIQLabs, Inc. v. LinkedIn Corp
  • New bill extending SOL

NSCP launched the Regulation Best Interest Working Group, a Member Center forum that meets biweekly to address requirements under the four prongs of the Regulation Best Interest Package.

NSCP also spent the third quarter preparing for this year’s NSCP National Conference in Baltimore from October 21-23! There’s still time to register!

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.