FAQ’s Regulatory Interchanges

Who Should Attend?

The NSCP Regulatory Interchanges provide an informal setting for industry professionals to ask questions and share concerns with the regulators and fellow attendees. Facilitated by industry professionals, attendees will meet and discuss those issues most pressing to them, before they meet with the regulators. Don’t miss this opportunity to network with both your peers and regulators!  *These events are closed to members of the press.

The Spring Conference offers two tracks that are suitable for either new compliance professionals or intermediate – seasoned compliance professionals.


Business Casual



Delivery & Method

Interactive regulatory sessions facilitated by members of the financial securities compliance industry.

Conference Materials

No conference materials are provided for Regulatory Interchange events.

The Spring Conference materials will be provided electronically via a conference app to the attendees.

Refunds and Cancellations

Requests for refunds must be received in writing by the following dates and will each be subject to a cancellation fee of $50.

• Newport Beach Interchange – 1/25/19
• Miami Interchange – 2/22/19
• New York Interchange – 3/22/19
• Chicago Interchange – 4/15/19
• Chicago Conference – 4/15/19

No refunds will be granted after these dates; however, substitutions may be made without penalty. For more information regarding refunds and/or program cancellation policies, please contact our office at 860.672.0843.

NSCP Hardship Policy

As required by various state continuing legal education boards, NSCP has adopted a financial hardship policy that applies to attorneys experiencing financial hardship. Financial hardship is defined as an attorney who earns less than $50,000 per year. The attorney must provide to NSCP proof of income and/or attestation of employment status. Upon verification of status, NSCP will advise the attorney on how to register for a reduced cost of 50% based on the attorney’s membership status and NSCP’s policy.