Materials can be purchased in our online store!

The 2012 NSCP Annual Meeting Materials are now available for purchase!   Further, recordings of the meeting’s six “Open” Panel Presentations are also available via NSCP’s educational partner West LegalEdcenter.  Best of all, recordings of two of the special solo “Open” Panel presentations are available for viewing FREE to NSCP Members.

NSCP 2012 National  Meeting Materials:

The materials may be purchased in two formats; either (1) the printed workbook of NSCP panel agendas, together with the searchable, fully-indexed CD, or (2) the CD alone.  The CD contains all the printed and supplementary materials of all NSCP Panel and Workshop presentations, as well as NSCP Labs, covering a plethora of current compliance topics. Note that the materials on the CD are in PDF format only. Please click the following link to view the complete list of the Compliance Topics covered at this year’s meeting.

Order this year’s NSCP National Meeting Materials by January 31, 2013 to receive best pricing. Form attached.

NSCP Member: $400 :::: Non-Member: $500 – CD only
NSCP Member: $450 :::: Non-Member: $575 – Workbook + CD Combo

****Please allow for two weeks for delivery****

NSCP 2012 National Meeting Recorded Panel Presentations:

To view a list of all of the 2012 National Meeting’s recorded panel presentations, please click on this link:

If you haven’t already registered with West LegalEdcenter, instructions on how to do so are at the end of this email.

Free to NSCP Members

“Liability of the Compliance Professional”
Ted Urban Interviewed by Craig Watanabe, Penniall & Associates, Inc.
Pricing: NSCP Member-FREE/Non-Member-$50.00

“Stewardship: Lessons Learned from the Lost Culture of Wall Street”
A Speech by John G. Taft, author and CEO of RBC Wealth Management
Pricing: NSCP Member-FREE/Non-Member-$50.00

If you have any questions about these offerings, please feel free to email Liza Wentworth at or call 860-672-0843.

Recorded Panel Presentations for Purchase

NSCP 2012 National Meeting: Keynote Address 
Carlo di Florio, SEC, Director, Office of Compliance Inspections and Examinations
Interviewed by Charles Senatore, Fidelity Investments
Pricing: Member-$50/Non-Member-$75.00

NSCP 2012 National Meeting: Investment Adviser Regulatory Panel
Moderated by 
Glen P. Barrentine, Cadwalader, Wickersham & Taft LLP with Andrew J. Bowden, SEC, OCIE, Associate Director, National Investment Adviser/Investment Company Examination Program and Daniel Kahl, SEC,  Assistant Director, the Office of Investment Adviser Regulation in the Division of Investment Management.
Pricing: Member-$75/Non-Member-$150.00

NSCP 2012 National Meeting: Broker-Dealer Regulatory Panel
Moderated by Harry J. Weiss, Wilmer Cutler Pickering Hale and Dorr LLP with Susan Axelrod, FINRA, Executive Vice President and Head of Member Regulation Sales Practice
Julius Leiman-Carbia, SEC, OCIE, Associate Director, National Broker-Dealer Examination Program and John Ramsay, SEC, Deputy Director, Division of Trading and Markets.
Pricing: Member-$75/Non-Member-$150.00

NSCP 2012 National Meeting: Keynote Address
Daniel M. Gallagher, SEC, Commissioner
Pricing: Member-$50/Non- Member-$75.00

NSCP 2012 National Meeting: Investment Adviser/Private Funds Enforcement Issues Panel
Moderated by Steven W. Hansen, Bingham McCutchen LLP with Joseph M. McGill, UBS Global Asset Management, Inc., Charles H. Field, Allianz Global Investors Capital
Chad Alan Earnst, SEC, Assistant Director, Asset Management Unit/Division of Enforcement
Pricing: Member-$75/Non-Member-$150.00

NSCP 2012 National Meeting: Broker-Dealer Enforcement Issues Panel
Moderated by John H. Walsh, Sutherland Asbill & Brennan, Ralph DeSena, RBC Capital Markets LLC,
A. Brad Busscher, Incapital LLC, and J. Bradley Bennett, FINRA, Executive Vice President of Enforcement,
Pricing: Member-$75/Non-Member-$150.00

Creating your West LegalEdCenter Profile

Part I - signing up.
Click here to open a new tab and sign in to West LegalEdcenter as a "New User" (Please note that this registration is separate from your NSCP login information)
2. Complete the Registration Information
3. Under "Your Practice Information," the last box asks "Associations You Belong To:" - click on "National Society of Compliance Professionals"
4. Check the box marked "I Agree" under "Terms and Conditions of Site Use"
5. Submit
6. Registration for West LegalEdcenter is complete.


Part II - finding our webinars.
7. Go to "Browse Programs" located on the left hand side of your screen and under "CLE" click on "Content Partners"
8. Locate and click on "National Society of Compliance Professionals"
9. Click "Add to Cart" for the webinar(s) you wish to attend
10. Click "Purchase Now" (the balance due will appear if applicable)
11. Registration for Webinar is complete