Alan J. Foxman serves as a Vice President with NCS Regulatory Compliance. In this capacity, Alan works with a broad range of investment advisers on all aspects of compliance. Alan is a past Chairman of the Government and Regulatory Committee of the National Association of Investment Professionals (NAIP) and writes the monthly “Compliance” column for “On Wall Street Magazine.” From April 1989 through June 1997 Alan was a staff attorney with the National Association of Securities Dealers, Inc. (“NASD” n/k/a The Financial Industry Regulatory Authority or “FINRA”) in their Office of Dispute Resolution. After leaving the NASD, Alan had his own law practice, with a concentration in securities law. Mr. Foxman is a member of the Florida Bar.
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