NSCP is for compliance, by compliance... benefits of membership include:
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 Capitol Hill. Proactive initiatives include the NSCP Code of Ethics, NSCP comment letters, white papers and so much more!
NSCP COMPLIANCE FORUM AND RESOURCE LIBRARY
NSCP’s online forum answers your questions from the collective expertise of NSCP’s membership community, and is 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. As an NSCP member, you’ll have access to a wealth of information including regulatory policies and procedures, compliance forms and checklists, NSCP white papers and SEC/FINRA examination request lists. If you have any questions or need assistance please contact Lisa Crossley at firstname.lastname@example.org.
The NSCP JobLine is a valuable resource for the compliance professional. Free to members, compliance openings may be posted for up to 45 days, and resumes may be posted for up to one year. Both members and non-members may peruse the offerings at any time.
Members receive our monthly journal NSCP Currents. The premier publication of the compliance industry, this journal features in-depth articles written by highly respected professionals, tackling problems common to every type of financial services firm.
LOCAL COMPLIANCE ROUNDTABLES
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 that 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 (email@example.com).
The most practical education in the industry... members enjoy a discounted price, but our educational offerings are open to non-members also.
NSCP, in conjunction with West LegalEdcenter, offers compliance training for professionals in the securities industry on a variety of topics. Take advantage of NSCP webinars— free or steeply discounted for members!
We have six region-specific day-long meetings (Atlanta/Dallas, L.A./San Francisco, Boston, Chicago, NYC and Toronto) as well as our comprehensive 2.5+ day, 70+ 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 hedge funds and investment companies. Generally available are CLE, CFP and SRO credits, as well as ethics credits. NSCP members receive a discount, and non-members are welcome to attend.
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 discussions and encourage sharing of best practices. The labs are paired with most of the regional meetings and are included in NSCP’s National meeting.
NSCP MENTORING PROGRAM
Mentoring is a one-on-one relationship where an experienced person (mentor) will help a less experienced person (mentee) grow professionally. Mentoring is typically done as on-the-job training by someone at the same company, but as compliance professionals we often don’t have the luxury of this resource. While mentoring can certainly be a viable stand-alone path to professional development, it is often complementary to other outlets such as conferences (live and online), written materials (printed and online), and networking (online forums and roundtables). Click here for more information.
Continue your professional development and commitment to the securities industry.
Why the Certified Securities Compliance Professional (CSCP) credential? The Certified Securities Compliance Professional ® (CSCP ®) Program provides the advanced compliance professional with the opportunity to demonstrate proficiency in a number of areas that are critical to the role of the CCO in the financial services industry.
The CSCP program:
♦ distinguishes individuals with intermediate to advanced proficiency and a commitment to advancing securities compliance practices, lifelong learning, and professional development
♦ is designed to meet the dynamic changes and increased responsibility and authority now carried by compliance professionals in the financial services industry
♦ requires expertise of both broker-dealers and investment advisers in compliance best practices, rules and regulations, and industry standards
NSCP developed the CSCP to be a self-directed study program. In preparation for the CSCP exam, candidates utilize information pertaining to the exam’s specifications, competency statements, content outline, and most importantly, the CSCP curriculum. The CSCP examination is not entry level and may only be taken by those candidates who have fulfilled established eligibility criteria. Once a candidate has met the eligibility criteria, the candidate will utilize the exam’s preparatory tool, the CSCP curriculum, to plan, execute, and customize a unique study guide and preparation strategy.
Eligible applicants may complete the registration process electronically through Pearson VUE's Web site at www.pearsonvue.com/nscp or via telephone at 888-269-2219.
What is the total cost of the program?
The CSCP Program offers three different program fees. These program fees include writing the exam, the program completion process, access to the Credential Management System (CMS), and a CSCP Certificate. NSCP membership has no bearing on the eligibility or cost of the CSCP program.
US & Canada: $795 USD
International: $825 USD
Government | Regulator: $695 USD
In addition to the program fees, candidates will need to purchase a 12-month account to the CSCP Curriculum, the exam's preparatory tool. 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