Mapping Tool
NSCP BD-IA Regulatory Mapping Tools
NSCP’s Mapping Tools offer comprehensive resources designed to help broker-dealers and registered investment companies navigate the complex landscape of regulatory requirements. Members have access to an expansive, organized list of applicable rules, mapped across various regulatory bodies such as the SEC, FINRA, and others. By consolidating these requirements into a centralized, easy-to-navigate format, the tools streamline compliance efforts, support risk management, and enhance operational efficiency.
The NSCP Mapping Tools are exclusive member benefits accessible to NSCP Members only.
Mapping Tool
An expansive, organized reference tool outlining the applicable rules you need to know - a helpful resource for staying up to date with evolving regulatory standards.
Interactive Mapping Tool
Provided in partnership with Cardamon, this AI-powered resource offers an interactive list of applicable rules and regulations, along with summaries, applicability, and direct links to resources, real time updates on the latest regulatory notices and rule changes (Horizon Scanning).