Join NSCP!
Become a member or renew your membership now!

Simplify your compliance life! Join the hundreds of compliance professionals across the country (and beyond) who already rely on NSCP for continuing information and support. Discover the wealth of compliance expertise and legislative information in the pages of our regular publications. Take advantage of NSCP's meetings and our Web site to network with fellow members who "speak compliance."

Annual dues are $400 USD.

Membership is open only to persons employed in a compliance-related capacity by one of the following: a broker-dealer, an investment adviser, or a closely related business or profession with securities compliance concerns, such as a bank, securities compliance consultant, or legal or accounting firm.

Compliance Consulting Firms, please note:
You must have a firm name. We cannot leave a firm name blank or use "Consultant for [name of another firm]."
Occasionally, NSCP is unable to verify a consultant's practice beyond a firm name, phone number or an e-mail address. In the absence of verifiable employment or existing consultancy, NSCP asks that independent consultants submit a non-consultant industry reference. This may be:
1. a current, active NSCP member, or
2. a representative of the firm/organization with which you were most recently affiliated.

Recruiting firms and members of the press are not eligible for NSCP membership.

Individual Membership

Join online

The information you submit will be encrypted. At no time will your credit card number or other information be stored unencrypted on the server.

Join by printable form

Print and mail the completed form with your check to NSCP, following the instructions on the form.

Group 1 Membership

GROUP I Membership: OPTIONAL for firms with 51 to 1000 employees as registered using the SEC’s Form ADV or FINRA’s Form BD. NSCP will provide the firm’s contact person with a unique Group Identifier login and password to be used for registration of up to 15 individuals. The registered firm’s affiliates and employees engaged in Compliance related activities may be designated by the firm as part of Group I for NSCP membership qualification.

Join by printable form only

Print and mail the completed form with your check to NSCP, following the instructions on the form.

Group 2 Membership

GROUP II Membership: OPTIONAL for firms with greater than 1,000 employees as registered using the SEC’s Form ADV or FINRA’s Form BD. NSCP will provide the firm’s contact person with a unique Group Identifier login and password to be used for registration of up to 35 individuals. The registered firm’s affiliates and employees engaged in Compliance related activities may be designated by the firm as part of Group II for NSCP membership qualification.

Join by printable form only

Print and mail the completed form with your check to NSCP, following the instructions on the form.

Q: What is Group Membership all about?

A: These options allow Investment Advisers, Broker-Dealers and Dually Registered Firms to take advantage of significant savings while at the same time increasing their Compliance staff participation in NSCP with full individual member benefits.

The major components of the NSCP Group Membership Offering are:

  • Access to full NSCP Membership benefits for up to 15 or 35 compliance professionals.
  • Aggregation of affiliated firms as part of the membership group. NSCP tracks firm members based upon Form ADV and/or Form BD registration.
  • Assignment of compliance related personnel to the membership group; for example legal support staff.