Year-End Wrap Up for Broker-Dealers

Thursday, October 26, 2017
2:00 – 3:00 PM EST

As the year comes to a close, compliance professionals know it’s time to tie up loose ends. Now is the time to inventory outstanding requirements, complete reviews, and finalize documentation. Join NCS Regulatory Compliance for a targeted discussion on year-end compliance for Broker-Dealers.

We will provide an overview and best practices for:

  • Critical Testing & Inspections
  • Registration Renewals
  • Continuing Education
  • Annual Compliance Meeting
  • Last Call Reviews

CPE Credits: 1.0, Group-Live, Program Level: Basic

NCS Regulatory Compliance is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website:

NEW for 2017: *No charge for NCS Regulatory Compliance retainer clients (includes PartnerProgram, Levels 1-5, FINOP, and other ongoing consulting). Please contact for complimentary registration link.