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RIA Services

Trusted RIA registration, compliance, and litigation support services.

Broker-Dealer Services

Comprehensive registration and compliance services for Broker-Dealers.

Compliance Consulting

Expert one-on-one consulting to meet your compliance obligations.

Examinations & Assessments

In-depth preparation for an audit with a variety of evaluations and tools.

Technology Tools

State-of-the-art technology tools that make compliance simple and cost-effective.

Free Consultations

Regulatory compliance is complex. Whether your firm is new to managing compliance requirements or you already have a strategy in place, NCS Regulatory Compliance can add value to your regulatory compliance plan. Let us prove it – request a free consultation, and we’ll show you how we can provide support to improve your registration and compliance needs. Ready to jump in? Begin your registration here:

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Cyber Security Watch

Combining what we know with what technology can do – leading the way in regulatory compliance

Cybersecurity is unfamiliar territory for many investment adviser and broker-dealer firms, despite the fact that most organizations maintain an online presence and use online software services containing sensitive firm or client information. NCS Regulatory Compliance offers cybersecurity assessments to evaluate your current compliance status, analyze your vulnerability to attack, and provide guidance to reduce risk.

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Upcoming Webinars

Check out our web-based educational seminars. NCS Regulatory Compliance provides independent learning programs and an all-inclusive selection of hot topics designed to enhance your individual knowledge and also to benefit your firm’s compliance best practices.

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Recent Blog Posts

Did you know that you may have Custody?

September 26, 2017

Did you know that you may have Custody? In February of 2017, the SEC provided guidance on the Custody Rule regarding Standing Letters of Authorizations (“SLOAs”), First Person Transfers, and inadvertent custody. SLOAs While a client can provide a standing…

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SEC Tightens Record-Keeping Requirement on RIAs Reporting Performance

September 15, 2017

  Background On August 25 2016, the Securities and Exchange Commission (the “SEC”) adopted amendments to Form ADV and Rules 204-2(a)(7) and (a)(16). The amendments to Investment Advisers Act Rule 204-2 will require advisers to maintain additional records related to…

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Cybersecurity 2 Initiative Shows Improvement But Firms Are Still Deficient

August 28, 2017

  On August 7, 2017, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a Risk Alert containing examiners’ latest observations regarding cybersecurity. OCIE’s Cybersecurity 2 Initiative is a follow-up to its Cybersecurity 1 Initiative, which was launched in…

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