Webinars

Upcoming Webinars: click on a title to register

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.

You must create a profile (one time) before signing up.
Click here to create that profile before you register.

Can't make the live broadcast? We archive our webinars!
Click here to drop down to our "on demand" list.

Current Webinars

NSCP 2012 National Meeting: John Taft Lunch Address:
“Stewardship: Lessons Learned from the Lost Culture of Wall Street.”

Broadcast Date: October 22. 2012
Pricing: Member-FREE/Non-Member-$50.00

NSCP 2012 National Meeting: Keynote Address:
Carlo di Florio Interviewed by Charles Senatore

Broadcast Date: October 22. 2012
Pricing: Member-$50/Non-Member-$75.00

NSCP 2012 National Meeting: Investment Adviser Regulatory Panel:
Moderated by:
Glen P. Barrentine, Cadwalader, Wickersham & Taft LLP
Andrew J. Bowden, U.S. Securities and Exchange Commission
Daniel Kahl, U.S. Securities and Exchange Commission
Broadcast Date: October 22. 2012
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
Susan Axelrod, FINRA*
Julius Leiman-Carbia, U.S. Securities and Exchange Commission*
John Ramsay, U.S. Securities and Exchange Commission*
Broadcast Date: October 22. 2012
Pricing: Member-$75/Non-Member-$150.00

NSCP 2012 National Meeting: Ted Urban Interviewed by Craig Watanabe.
“Liability for the Compliance Profession”:

Broadcast Date: October 23. 2012
Pricing: Member-FREE/Non-Member-$50.00

NSCP 2012 National Meeting: Keynote Address:
Daniel M. Gallagher
Commissioner

U.S. Securities and Exchange Commission
Broadcast Date: October 23. 2012
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
Joseph M. McGill, UBS Global Asset Management, Inc.
Charles H. Field, Allianz Global Investors Capital
Chad Alan Earnst, U.S. Securities and Exchange Commission
Broadcast Date: October 23. 2012
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
J. Bradley Bennett, FINRA
Broadcast Date: October 23. 2012
Pricing: Member-$75/Non-Member-$150.00

Previous Webinars recorded and Available on Demand

Please check to make sure that your accrediting body is included prior to signing up.

ERISA 408(b)(2) Preparedness: Thinking Beyond the Four Corners of the Disclosure Document
Speakers:
Doug Baxley, MBA, CFP, Assistant Vice President, Assistant Director of Compliance for SSN
Jason C. Roberts, Founder and CEO of the Pension Resource Institute (PRI)
Craig R. Watanabe, CSCP, Chief Operating Officer of Penniall & Associates, Inc.
Pamela K. Ziermann, CSCP, Senior Vice President Compliance, Dougherty Financial Group
When: June 11, 2012, 2:00-3:00 EDT
Pricing:
NSCP Members:: $60.00
Non-Members :: $120.00

Implementing SEC and FINRA Guidance on Branch Office Inspections
Speakers:
Jim Hooks - Senior Vice President in Governance and Risk, LPL Financial
Miriam Lefkowitz - General Counsel, Shufro, Rose & Co., LLC
When: May 29, 2012, 2:00-3:15 EDT
Pricing:
NSCP Members:: $75.00
Non-Members :: $150.00
More details on "Implementing SEC and FINRA Guidance on Branch Office Inspections"

CFTC/NFA Regulations for Private Funds – What You Need to Know
Speakers:
Daniel Driscoll is the COO of the National Futures Association.
Dianne Mattioli is the Chief Compliance Officer of EIM Management (USA) Inc, a fund of funds registered with the SEC and NFA.
Jeff Blumberg is a partner at Fox, Hefter, Swibel, Levin & Carroll, LLP, specializing in investment management law and a member of the firm's Corporate and Securities practice.
Cary J. Meer is a partner in K&L Gates' Washington, D.C. office and a member of the Investment Management practice group.
Adam J. Reback is the Chief Compliance Officer of J. Goldman & Co., L.P. NY, NY
Daniel S. Konar is an Associate with Skadden, Arps, Slate, Meagher & Flom LLP.
Jennifer Wu Han is MFA’s Associate General Counsel and a former Regulator with the SEC.
Date: April 30, 2012
Pricing:
NSCP Members:: $295.00
Non-Members :: $350.00

New Broker-Dealer Suitability Rules
Speakers:
Thomas K. Potter III, partner in Burr & Forman's Business Litigation practice, and Managing Partner of its Nashville office
Peter von Maur, Director and Senior Counsel in the Law Group of RBC Capital Markets, LLC
Date: March 22, 2012
Pricing:
NSCP Members:: $60.00
Non-Members :: $120.00
Click to read more about this offering.

The Do's and Don'ts of Performance Advertising
Speakers:
Michelle L. Jacko, CSCP, Founder and CEO - Core Compliance & Legal Services, Inc.
Deborah A. Lamb, CSCP, Chief Compliance Officer - McKinley Capital Management, LLC
Date: January 18, 2012
Pricing:
NSCP Members:: $60.00
Non-Members :: $120.00
Click to read more about this offering.

The SEC's Whistleblower Bounty Program: Best Practices for Compliance and Investigations
Speakers:
Bradley J. Bondi, Cadwalader, Wickersham & Taft LLP
David H. Lui, Galliard Capital Management
Kenneth M. Cherrier, Waddell & Reed, Inc.
Date: 12/1/11
Price: $60 for NSCP members, $120 for non-members
Click to read more about this offering.

Broker Dealer Trading Practices
Speakers:
Richard Wallace, Foley & Lardner LLP
Wesley L. Ringo, J.J.B. Hilliard, W.L. Lyons, LLC
James Downing, JPMorgan Chase
Date: 12/6/11
Price: $60 for NSCP members, $120 for non-members
Click to read more about this offering.

Detecting and Preventing Financial Fraud
Speakers:
Mark T. Carberry, Schuyler, Roche & Crisham
Miriam Lefkowitz, Shufro, Rose & Co.
Tracy K. Webb, CSCP, Office of the New York State Comptroller
Date: 12/7/11
Price: $60 for NSCP members, $120 for non-members
Click to read more about this offering.

Social Media Monitoring and Archiving Solutions for the Financial Services Compliance Professional (no link yet)
Speakers:
Blane Warrene, Arkovi
Mark H. Nicholas, Cetera Financial Group
Craig R. Watanabe, CSCP, Penniall & Associates, Inc.
Date: 12/8/11
Price: $60 for NSCP members, $120 for non-members
Click to read more about this offering

Cloud Computing - What Every Chief Compliance Officer Needs to Know (no link yet)
Speakers:
Stephen Pope, Red Oak Compliance Solutions LLC
David Colon, Lincoln Financial Group
Steven Trigili, Garden State Securities
Date: 12/13/11
Price: $60 for NSCP members, $120 for non-members
Click to read more about this offering.

Key Social Media Issues for the Financial Services Compliance Professional
Speakers:
Stephen Selby, Director of Regulatory Services at LIMRA
Mark H. Nicholas, Counsel with ING US Legal Services
Price: $75 NSCP members/$150 for non-members

Soft Dollars in the United Kingdom and Europe
Speakers:
Margaret R.A. Paradis, Morris, Manning & Martin, LLP.
Christopher J. Mahon, AllianceBernstein
Price: $75 NSCP members/$150 for non-members

Legislative Reform and Regulatory Developments Affecting Hedge Fund Managers
Speakers: Katherine Addleman, Haynes and Boone, LLP, Adam J. Reback, J. Goldman & Co., L.P
Price: $75 NSCP members/$150 for non-members

Hedge Funds - Building your Compliance Program around Your Fund Documents
Speakers: Mark D. Whatley, Sidley Austin LLP, Helane L. Morrison, Hall Capital Partners LLC, Stacie L. Yates, UBS Financial Services, Inc.
Price: $75 NSCP members/$150 for non-members

Hedge Fund Compliance Challenges Based on Investor Class
Speakers: Margaret R.A. Paradis, Baker & McKenzie LLP, David P. Mathews, Altegris Investments, Inc
Price: $75 NSCP members/$150 for non-members

Fundamentals of Securities Compliance and Best Practices for Private Funds and Hedge Funds
Speakers: Jeffrey R. Blumberg, Drinker Biddle & Reath LLP, Dianne Mattioli, EIM Management (USA) Inc.
Price: $75 NSCP members/$150 for non-members

BD Compliance Surveillance Techniques using Google and Excel
Speakers: Craig Watanabe, Penniall & Associates, Inc., Nancy Lininger, The Consortium, and David M. Sobel, Abel/Noser Corp.
Price: $60 NSCP Members/ $120 to non members

Political Contributions and Investments Advisers - What Compliance Professionals need to know about the new Advisers Act Pay-to-Play Rule 206(4)-5
July 27th, 11:00-12:00 EDT
Speakers: Elizabeth Knoblock, Mayer Brown LLP and Matthew Goldin, SEC
Price: FREE to NSCP members

The Amended ADV Part 2 - What Compliance Professionals Need to Know about the Upcoming Changes
Speakers: Patricia E. Flynn, INTECH, Miriam Lefkowitz, Shufro, Rose & Co., LLC and Timothy Simons
Price: FREE to NSCP members

Challenges For CCOs Under Amended Advisers Act Custody Rule
Speakers: Clifford J. Alexander, K&L Gates, Pamela K. Ziermann, Dougherty Financial Group LLC and Lee D. Augsburger, Prudential Financial, Inc.
Duration: 1 hour and 30 minutes
Price: Free to NSCP Members

An Introduction to Complex Financial Products
Speaker; Richard D. Marshall, Ropes & Gray LLP
Duration: 1 hour and 30 minutes
Price: $90.00 for NSCP Members

Key Insights into Hedge Fund Regulatory & Compliance Issues
Speakers: Michelle L. Jacko, Core Compliance & Legal Services, Inc.and Mark A. Polemeni Alexandra Investment Management, LLC
Duration: Unspecified
Price: $60 for NSCP Members

Creating your West LegalEdCenter Profile

Part I - signing up.
1. 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 completevg

About West LegalEdcenter
The cost-effective source for online and in-person legal training and CLE, West LegalEdcenter keeps attorneys up-to-date on the law and compliant with state requirements. Find everything you need to manage continuing education and professional development in law firms and legal departments – live conferences and seminars around the nation, more than 7,000 online courses, compliance tracking, learning management, and full integration with in-house training. Taught by the most prestigious names in the legal field, West LegalEdcenter covers both the core substance of law as well as hot topics in every practice area. For more information, visit www.westlegaledcenter.com.