Member Benefits

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;
• The Certified 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 organization representing 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,  white papers + so much more!

Face-to-face Meetings
We have six region-specific day-long meetings (Atlanta/Dallas, L.A./San Francisco, Boston, Chicago, NYC & Toronto) as well as our comprehensive 2.5+ day, 80+ workshop National Conference in the fall. Our faculty are experienced industry veterans who discuss practical implementation of Compliance Policies and Procedures. Workshop topics are specific to Investment Advisers and Broker-Dealers, as well as private funds and investment companies. CLE, CPE and SRO credits are applied for, as well as ethics credits. NSCP Members receive a discount, and non-members are welcome to attend. For more information, including cost and location, please visit www.nscpmeetings.com.

NSCP Compliance Forum and Resource Library
NSCP’s on-line forum answers your questions from the collective wisdom of NSCP’s membership community, and one of the best ways to get involved with your constituency. NSCP has also established a Resource Library as a repository of compliance reference materials. The collection includes regulatory policies and procedures, compliance forms and checklists, NSCP white papers and SEC/FINRA examination request lists.

NEW!! MENTORING
Take professional development to the next level. NSCP's new Mentoring program allows NSCP members the opportunity to offer or receive personalized guidance. For more information, including the Mentor and Mentee forms, please visit: www.nscp.org/mentoring.php

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 Smartbrief-style 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 issues quickly and focus on those news items that are important to you.

Click here to peruse samples of NSCP Currents and NSCP HotLine.

Value of CSCP
Today’s compliance professional must demonstrate an understanding of the financial services industry, mastery of the regulatory framework and the agility to adapt to an ever-changing regulatory environment. Obtaining NSCP’s certification will identify you as a true professional in the financial services industry. Earning the Certified Securities Compliance Professional® (CSCP®) credential can help you differentiate yourself in today's competitive job market and broaden your employment opportunities by displaying your advanced skills and your commitment to competence.

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.

The Curriculum fee is a separate fee from the program fees (Pearson VUE exam registration fee) and will allow candidates the opportunity to review and become comfortable with the study materials prior to committing to a testing appointment.

• New 12-Month Account: $200 USD
• Renewal of Existing 12-Month Account: $175 USD

Registration Fee
The standard program fee is $795 (upon meeting eligibility criteria) and includes writing the exam, access to the Credential Management System (CMS), the program completion process, and a CSCP Certificate. NSCP membership has no bearing on the eligibility or cost of the CSCP program.

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 complements 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.