The National Society of Compliance Professionals (NSCP) is a nonprofit, membership organization dedicated to serving and supporting compliance professionals in the securities industry. We offer:

• The most cost-effective, comprehensive educational meetings anywhere;
• Certification for the Securities Compliance Professional (CSCP®);
• Monthly news and balanced insight into regulatory developments;
• Interactive on-line Compliance Forum for NSCP Members only - your questions asked and answered through the collective wisdom of NSCP’s membership community.

Advocacy
NSCP is the only nonprofit representative organization for the compliance profession, uniquely positioned to take an independent stance with respect to industry developments, and to promote unbiased consensus with respect to initiatives from the SEC, the SROs and on Capitol Hill. Proactive initiatives include the NSCP Code of Ethics, NSCP comment letters, whitepapers + so much more!

Meetings
We have six region-specific day-long meetings (Atlanta, L.A./San Francisco, Boston, Chicago, NYC & Toronto), as well as our comprehensive 2.5+ day, 60+ workshop National Conference in the fall. Our workshop panels include experienced industry veterans speaking about practical implementation of Compliance Policies and Procedures. Workshop topics are specific to investment advisers and broker-dealers, as well as hedge funds and investment companies. CLE, CFP, CPE, and SRO credits are applied for, as well as ethics credits. Both members and non-members alike are welcome to attend. For more information, including dates and cost, please visit nscpmeetings.com.
Webinars
NSCP, in conjunction with West LegalEdcenter, is proud to announce online compliance training for professionals in the securities industry! NSCP webinars are at no cost or are steeply discounted to NSCP membership; a variety of topics will be presented throughout the year.

Labs
These working sessions provide attendees with the opportunity to apply their knowledge in a guided, interactive environment, with applicable examples, scenarios, and case studies. Lab facilitators provide feedback, guide discussion and encourage sharing of best practices.

 

 

Publications
NSCP Currents is a bimonthly compliance journal with in-depth articles written by highly respected industry professionals, tackling problems common to every type of financial services firm.

The NSCP HotLine Memo is a monthly summary of regulatory initiatives and tracks legislative proposals from initiation to enactment. Supplementary information is available on request. The NSCP HotLine’s format allows you to skim the issue quickly and focus on those news items that are important to you.

Click here to peruse samples of NSCP Currents and NSCP HotLine.
JobLine
NSCP’s JobLine provides a valuable resource tool for the securities compliance professional. Free to all members, a compliance opening may be posted for 45 days. Members and non-members alike may peruse the offerings anytime. Resumes may be posted as well. Visit the JobLine at www.nscpjobs.com.

Demonstrate Mastery and Gain Recognition

Why CSCP?
More and more compliance professionals are turning to NSCP for the credential that will enable them to gain recognition in the financial services industry. The Certified Securities Compliance Professional (CSCP) credential permits the holder to demonstrate mastery of a broad array of rules and regulations that govern and industry best practices that influence market participants.

Preparation
Candidates prepare for the CSCP examination through self-study of the online CSCP curriculum - a compendium of resource materials that have been carefully selected. The CSCP examination is not entry-level. The curriculum is structured based upon an assumption that candidates have some industry experience and have some familiarity with rules and regulations that govern broker-dealers and investment advisers.

Registration Fee
An individual does not need to be a member of NSCP in order to qualify for the CSCP program. The standard fee is $695 (upon meeting eligibility criteria) and includes registration for the examination, access to the CSCP curriculum, and the credential application process. Successful candidates of the program will also receive a CSCP certificate.

Visit www.cscp.org for further details regarding qualifications, registration, government discounts, and certification maintenance.

Local Compliance Rountables
Roundtables are local groups of compliance professionals who meet periodically to network and further their professional development. The Roundtables offer a unique medium for learning which compliments conferences and online resources. NSCP does not sponsor Roundtables but NSCP does actively support a number of Roundtables throughout the country. They are autonomous and most are open to new members. NSCP has a Roundtables Committee that can connect you with an existing Roundtable or help you start your own. If you would like to find out more, contact Kim McNutt at NSCP - kmcnutt@nscp.org.