NSCP Membership Benefits

Most of the benefits of membership are only possible due to the efforts of our members. Since we are all looking to build best practices it only makes sense that we share our experiences with our fellow members as a part of that effort.

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 financial services firms.

Like most of our offerings, Currents, can provide both learning and sharing experiences. If you have expertise on a topic that other members will appreciate, you can share your knowledge with them. If you are looking for guidance and advice on a particular compliance issue, past Currents articles provide you with another helpful resource. There is an index of articles on our website in the Member Center to assist you with searches when you are researching a topic.

Through NSCP’s online forum, members can seek confidential on their questions from the collective expertise of NSCP’s membership community. We encourage you to regularly visit the compliance forum to see what issues your peers are grappling with and offering your expertise where needed.

The NSCP Resource Library offers compliance reference materials such as checklists, policies, and procedure templates, as well as SEC and SRO examination letters. If you have a resource to share with your peers, contact the staff for condsideration. We are happy to accept materials that are copyrighted and will include your name as the donor of the materials.

Members can participate in NSCP regulatory and working committees including the Investment Adviser, Broker/Dealer, Private Funds, Municipal Advisor, and Canadian committees. Each month members in these industry groups gather for a telephone discussion about current hot topics, examinations/sweeps experiences, proposed/amended regulations, and committee member questions.

View Committee Meeting Schedule

Members enjoy discounted prices, but our educational offerings are open to non-members also.

FACE-TO-FACE MEETINGS

In addition to our flagship comprehensive 2.5+ day, 70+ workshop National Conference held every year in the fall we offer region-specific day-long meetings. 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 private funds investment companies and municipal advisors. CLE, CFP,  SRO, and ethics credits are available.

WEBINARS

NSCP offers compliance training for professionals in the securities industry on a variety of topics. Webinars are recorded and available on the NSCP website.

ESSENTIAL COMPLIANCE RESOURCES (ECR)

NSCP offers a suite of instructional training modules written by experienced compliance professionals to assist compliance professionals on key regulatory topics.  ECR modules are available on the NSCP website.

Roundtables are local groups of compliance professionals who meet periodically to network and further their professional development. Roundtables offer a unique medium for learning that complements conferences and online resources. NSCP actively supports a number of roundtables throughout the country. While roundtables are autonomous, NSCP has a committee that can connect you with an existing roundtable or help you start your own.

The NSCP Jobline is a valuable resource for the compliance professional. As part of NSCP’s member benefits, members can post free compliance openings and resumes. There is a nominal charge for non-members. Anyone can review Jobline postings and resumes regardless of membership.

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.