Share Your Thoughts on Regulatory Examination Experiences/FINRA Meeting April 4th

Did you know that you are able to share your struggles, concerns and praise concerning your firm’s regulatory examination experiences with the SEC, FINRA or NFA? NSCP has created a way for you to do so. The SEC, FINRA and NFA wish to hear what they can improve upon before, during and after an examination, as well as what they are doing right. Your comments can be made anonymously and will be held in the strictest confidence. This is your opportunity to make your voice heard.

NSCP will be meeting with senior management of FINRA on April 4th. NSCP invites you to share your thoughts concerning a recent FINRA examination, FINRA examination priorities, enforcement actions, proposed/adopted regulation or a specific regulatory problem your firm is currently facing.  NSCP will categorize and present to FINRA the issues voiced by members.

Thank you in advance for assisting not only NSCP, but your regulators.