FAQ’s Spring Conferences

Who Should Attend?

The NSCP Spring Conferences offer regulatory panels and panel presentations by subject matter experts with topics for beginner, intermediate and advanced level compliance professionals from broker-dealers, investment advisers, investment companies, private funds/hedge funds and banks, as well as insurance, law, consulting and accounting firms.


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Delivery & Method

Live panel presentations by both subject matter experts in the financial securities compliance industry. Panelists will provides attendees with practical guidance (i.e. applicable examples, scenarios and case studies), will guide discussion and encourage sharing of best practices.

Conference Materials

NSCP will provide all registered attendees with a link to the conference materials (including PowerPoint presentations and additional resource materials) approximately two weeks in advance of the conference. Attendees can print off any documents to bring to the conference, if desired. The materials will also be available during the conference via Wi-Fi access. Additional handouts may be provided by the panelists for use during a session.

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.

• 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 Financial 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.