July 23, 2008
July 2008 SEC ComplianceAlert
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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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July 2008 SEC ComplianceAlert
July 23, 2008
- The Securities and Exchange Commission staff today released a new ComplianceAlert letter identifying common deficiencies and weaknesses that SEC examiners have recently found during compliance examinations of firms that are registered with the SEC. The ComplianceAlert is intended to foster robust compliance in the securities industry by providing information about deficiencies and encouraging chief compliance officers to take steps to address any similar issues at their firms.
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