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 support your registration and compliance needs. Ready to jump in? Begin your registration here:

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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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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

NCS Regulatory Compliance Expands Nationwide Operations

November 29, 2018

FOR IMMEDIATE RELEASE: Londonderry, N.H. – November 26, 2018 – NCS Regulatory Compliance, the nation’s leading regulatory compliance consulting firm, is pleased to announce that they have expanded into California and Atlanta.  Kerry Rider has joined the firm as Vice President,…

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Tech Tuesday — DDoS: An Old Cyber Attack Becomes New Again

November 27, 2018

As 2018 is on its way out, we reflect on the plethora of massive hacks resulting in endless concern for SMBs & enterprise security professionals as well as the necessary budgetary spend to mitigate and proactively defend against malicious actors….

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Top 10 FAQs for Providing Investment Advice to 401(k) Plan Participants

November 13, 2018

Many investment advisers provide investment advice to 401(k) plans. In these instances, the 401(k) Plan itself is the client. In other words, the adviser is hired by the employer to design or manage the Plan itself. In other cases, the…

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