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

It was the best of times it was the most regulated of times…

February 22, 2018

While the FINRA Exam Priorities letter will not be nominated for the Man Booker award or a Pulitzer, it should at least get credit for consistency.  There are the recurring themes one would expect to find in any string of…

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Upon Further Review: Expense-Sharing Highlights and Recap

December 20, 2017

This time of year, it is common practice for broker-dealers (“BDs”) to take a close look at their financials as they gear up for another annual audit and also review any expense-sharing agreements (“ESA”) they have in place. We are…

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Securities Regulators Constantly Evaluate the Allocation of their Resources

December 7, 2017

Just as investment advisers implement an asset allocation strategy to benefit their clients, securities regulators must allocate their assets and resources effectively to protect investors. The SEC said recently that because it has limited resources, the Commission must set priorities…

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