July 29, 2010
New Amendments to Form ADV
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July 22, 2010
DODD-FRANK WALL STREET REFORM AND CONSUMER PROTECTION ACT
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June 30, 2010
SEC Adopts New Measures to Curtail Pay to Play Practices by Investment Advisers
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June 10, 2010
COMPLIANCE ALERT – SEC CONDUCTING LIMITED SCOPE EXAMS
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May 24, 2010
NASAA Statement on Passage of Senate Financial Reform Bill
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April 05, 2010
March 2010 - SEC request letter to newly formed SEC Adviser
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January 04, 2010
Custody of Funds or Securities of Clients by Investment Advisers
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December 17, 2009
SEC Approves Stronger Safeguards to Protect Clients’ Assets Controlled by Investment Advisers
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May 18, 2009
Speech by SEC Commissioner: Statement at SEC Open Meeting
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May 18, 2009
SEC standardized request letter for confirmation of assets
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May 15, 2009
Speech by SEC Commissioner: Remarks at SEC Open Meeting
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May 14, 2009
SEC Proposes Rule Amendments to Strengthen Safeguards of Investor Funds Controlled by Investment Advisers
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May 12, 2009
Regulating Broker-Dealers and Investment Advisers: Demarcation or Harmonization
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February 02, 2009
SEC Charges Merrill Lynch With Misleading Pension Consulting Clients
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December 15, 2008
NCS consultant's new book helps RIAs avoid advertising and marketing pitfalls
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November 17, 2008
Investment Adviser Examinations: Core Initial Request for Information
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November 07, 2008
FinCEN Withdraws Proposed Anti-Money Laundering Rules for Unregistered Investment Companies, Commodity Trading Advisors and Investment Advisers
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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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