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I
nvestment Adviser State
Registration and De Minimus
Exemption
April 2009
There's something about Mary
March 2009
They're coming - Preparing for
Y
our
N
ext
R
egulatory
E
xamination
Jan. 2009
Dec. 2008
SFAS 157 Fair Value
Measurement
Oct. 2008
Fund Manager
s
Should Actively
Review Disclosures Portfolio
Mandates
Sept. 2008
I
mportant Strategies to Consider
for Reviewing your Disclosure
Aug. 2008
Hedge Fund Best Practices
June 2008
Newly Proposed Changes to
Regulation S-P
May 2008
Top Areas of 2007 Deficiencies Noted
by the SEC in San Diego’s CCO
Outreach Program
April 2008
Approaching the Heightened Standards in
Offering Investment Tools to Service
Members
Dec. 2007
Explanation and Assessment of
the Newly Proposed Uniform
Privacy Policy
Oct. 2007
Investment Companies: Fund
Compliance Reminders
Aug. 2007
Hedge Fund Compliance & the
Aftermath of Goldstein
July 2007
Protecting Yourself—Errors and
Omissions Insurance: The Must
Have Insurance for Every Firm and
Individual
April 2007
Top 10 List for Investment
Adviser Annual Reviews
March 2007
Implementing Compliance
Technology Solutions
Feb 2007
Jan. 2007
May 2009
The Red Flag Rules Revisited
June 2009
Alternative Adviser Registration
Options
July 2009
Red Flag Rule Postponed (Again)
Publications
July/ August 2009
NSCP Currents -
The Private Fund
Investment
Advisers Registration Act
of 2009
Jan. / Feb. 2009
Bank Advisor Magazine - Who is
Risking Your Business? (Part III)
Dec. 2008
Privacy Protections Required by
Securities Firms: Compliance with
the Evolving Regulatory Landscape
Nov. / Dec. 2008
Bank Advisor Magazine- W
ho's
risking your business? (Part II)
Sept. / Oct. 2008
Bank Advisory Magazine - Are
Your Employees Risking Your
Business (Part I)
May / June 2008
NSCP Currents - The Changing
Landscape of Disclosure: Proposed
Changes to Form ADV Part 2
July/ Aug. 2008
Bank Advisor Magazine - The Effects
of Regulation S-P on Your Business
March / April 2008
Bank Advisor Magazine- Do Right by
Our Men and Woman in Uniform
Jan. / Feb. 2008
Bank Advisor Magazine- The New
Merrill Lynch Guidelines
May 2007
Charles Schwab - White Paper: Legal
Considerations When Transitioning to
Independence (Michelle Jacko)
May 2007
NSCP Currents - Code of Ethics for the
Compliance Professionals (Michelle
Jacko co-author)
May / June 2006
NSCP Currents - Developments Under
NASD Rule 3012 - Supervisory Control
Systems
March / April 2006
NSCP Currents - Investment Adviser
Compliance Programs: What CCOs
Learned in the First 18-Months
Jan. / Feb. 2005
NSCP Currents - Balancing the Role of
CCO & Legal Counsel (Michelle Jacko)
Jan. / Feb. 2001
NSCP Currents - IARD Conversion Q & A
May 2006
NSCP -
Broker Dealers
September 2009
SEC Rule Proposal: Regulating “Pay
to Play” Practices
October 2009
D
raft of 2010 -2015 SEC Strategic
Plan Published for Comment
November 2009
Final Model Privacy Form Adopted by
the SEC & Regulation S-P Updates
December 2009
FINRA’s Proposed Amendments to
Rule 2210-Communications with the
Public
Nov./Dec. 2009
NSCP Currents - Privacy Best
Practices and Updates on Regulation
S-P
January 2010
Anti-Money Laundering Updates:
Adoption of FINRA Rule 3011 and
Release of the Small Firm Template
February 2010
Anti-Money Laundering Updates -
Part II: Release of the AML Small
Firm Template