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Compliance Conference 2017

June 21-23 | Eau Palm Beach Resort and Spa

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Expert Compliance Support,
Your Best Investment Yet

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:

Start Your RIA Registration Start Your BD Registration Find your FINOP ComplyRate™

Not the online form type?
Feel free to call (800) 800-3204 or email us at info@ncsregcomp.com.

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

DOL Fiduciary Rule Status

March 15, 2017

The Department of Labor (DOL) has proposed a delay in the applicability date of its Fiduciary Rule to June 9, 2017 in order to complete a review of the Rule which was ordered by President Trump.   On February 3, 2017,…

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FINRA Rule 3120 Testing – 10 Years Later

March 3, 2017

It’s hard to believe it has been over ten years since the inception of NASD Rule 3012 (n/k/a FINRA Rule 3120).  The requirements under this rule shook broker-dealers at the core when they first were issued.  As you may recall,…

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Was That Wrong? Regulators Say Yes

February 27, 2017

In the Seinfeld sitcom which has been in syndication for years, Jerry’s friend, George Costanza, found himself in trouble at work for obviously inappropriate conduct. George’s response was: “Was that wrong? Should I have not done that? I tell you,…

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