September 10, 2008
SEC Preliminary Information Request List and Examination Information Request List dated 9-2008 - Philadelphia
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March 28, 2008
NCS to Speak at Marketing and Advertising Compliance Forum
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February 19, 2008
Blue Frog Solutions and National Compliance Services, Inc. Form Strategic Alliance
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February 04, 2008
Speech by SEC Staff: Frequently-Asked Questions About SEC Examinations
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September 21, 2007
SEC Votes to Adopt Temporary Rule on Principal Trades With Certain Advisory Clients
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September 10, 2007
"Free Lunch" Investment Seminar Examinations Uncover Widespread Problems and Perils for Older Investors
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NCS to Speak at Marketing and Advertising Compliance Forum
at the Princeton Club in New York City on March 28, 2008
March 28, 2008
- Les Abromovitz, senior consultant for NCS, will be discussing website and Internet compliance issues at the 4th Annual Marketing and Advertising Compliance Forum for Investment Advisers. Les’ presentation will be at the Princeton Club in New York City on March 28, 2008. The event is sponsored by Financial Research Associates. Other members of the speaking faculty include a representative from the U.S. Securities & Exchange Commission, as well as securities attorneys from a number of prominent law firms.
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