Expert Compliance Support,
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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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Cybersecurity Services

Do you know the five major areas every Investment Adviser and Broker-Dealer should focus on to meet the SEC’s and FINRA’s expectations on cybersecurity? Watch our video to find out and learn more about NCS Regulatory Compliance Cybersecurity services.

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NCS Regulatory Compliance in the News!

Lori Weston, Vice President at NCS Regulatory Compliance, talks to Matt Ackermann from Investment news at Schwab IMPACT 2017 about how RIA’s can successfully market their business without hitting any compliance traps. Watch the full interview.

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Recent Blog Posts

SEC Announces Initiative to Fight Cyber Threats and Protect Retail Investors

November 3, 2017

On October 26, 2017, Stephanie Avakian, Co-Director of the SEC’s Enforcement Division, gave a speech which discussed the Commission’s initiative related to retail investor protection and cybersecurity. The speech gave an overview of how the SEC is allocating resources to…

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Five Steps to Adequate Email Supervision

October 25, 2017

As a registered investment adviser, you are required to keep any and all records of client correspondence, including emails, text messages, and social media messages in accordance with Rule 204-2 of the Advisers Act.  In addition to being able to…

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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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