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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2017 National Compliance Conference

Join us June 21-23 at the award-winning Eau Palm Beach Resort & Spa in Palm Beach, Florida 

This national conference will provide RIA and BD compliance and regulatory reporting professionals the opportunity to get to know our consultants, examiners and compliance support teams, all while gaining an understanding of the ever-evolving and complicated world of compliance and regulatory requirements.

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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

Why Attend a Compliance Conference?

May 25, 2017

To paraphrase an old saying, no one ever laid on their deathbed wishing they had spent more time on compliance. Nevertheless, there are quite a few people working for Registered Investment Advisers and broker-dealers who wish they had devoted more…

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The SEC’s Crackdown on Pay to Play Suggests They are not Playing

May 19, 2017

Background In general, “pay to play” refers to investment advisers that make or solicit political contributions to government officials in an attempt to influence those officials charged with awarding advisory business. The SEC has commented that pay to play practices…

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FINRA Provides Guidance on Social Media and Digital Communications

May 3, 2017

With technology changing almost overnight, regulators face the difficult task of overseeing new forms of communication. In April 2017, FINRA published Regulatory Notice 17-18 which provides guidance regarding the application of its rules to social networking websites and business communications….

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