The 8 challenges of pay to play | Learn more in L.A. on April 21

The 8 challenges of pay to play | Learn more in L.A. on April 21
NICSA members are telling us that one of the most challenging directives to come along recently is SEC Rule 206(4)-5. This new regulation  — better known as “pay to play” — makes it very difficult for employees of investment advisers to both make contributions to political candidates and manage money for the governmental entity that they are elected to.

eTransfer Agent Compliance Guide | Available now!

eTransfer Agent Compliance Guide | Available now!
New for 2011, NICSA’s Transfer Agent Compliance Guide has gone virtual.  Reasonably priced site licensing is available to firms, enabling an individual or an entire compliance department to access the NICSA Transfer Agent Compliance Guide right from the NICSA website.

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