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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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August 15, 2007
NCS Addresses NAPFA
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NCS Addresses NAPFA
August 15, 2007
- Les Abromovitz, a senior consultant for NCS, spoke at
the National Association of Personal Financial Advisors (NAPFA) meeting in San
Diego, California, on February 25, 2006. The subject of his talk was compliance
issues for the 21st century and dealt with many important regulatory
developments affecting investment advisers. Abromovitz will conduct a Web
seminar for NCS clients on this topic in late April.
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