NCA Compliance, Inc.

NCA Compliance, Inc. NCA Compliance, Inc. provides advanced compliance solutions to SEC and state-registered advisors. Ha Your use of Facebook is at your own risk.

specializes in helping registered investment advisors, investment companies, mutual funds, and private funds nationwide establish, strengthen and improve their compliance programs. Services include mock audits, forensic testing, CCO outsourcing, and advisor registration, all of which are provided by former SEC staff. Services can be provided on-site and/or off-site, depending on your needs and pre

ferences. Hayley Nelson, the President and Principal Consultant of NCA Compliance, has 20 years of experience in the securities industry, including 5 years with the SEC and 8 years as Director of Compliance of a $100 billion investment advisor in New York. Facebook.com is owned by a third party unaffiliated with NCA Compliance. NCA Compliance assumes no responsibility for and does not endorse any content, products, services, advertising, advice, opinions, recommendations, privacy policies, or other materials on or available from third parties, including Facebook. NCA Compliance does not endorse or approve any content posted by third parties.

The SEC announced its 2026 Exam Priorities yesterday. Here is what investment advisors need to know.
11/18/2025

The SEC announced its 2026 Exam Priorities yesterday. Here is what investment advisors need to know.

The SEC's 2026 Exam Priorities have been announced by the Division of Examinations. Here is what investment advisors need to know.

The SEC announced yesterday that it is withdrawing a number of proposed rules. Here is what RIAs need to know.
06/13/2025

The SEC announced yesterday that it is withdrawing a number of proposed rules. Here is what RIAs need to know.

The SEC announced yesterday that it is formally withdrawing a number of proposed rules. Here is what RIAs need to know.

The SEC recently announced its 2025 exam priorities. Here is what RIAs need to know.
10/24/2024

The SEC recently announced its 2025 exam priorities. Here is what RIAs need to know.

The SEC’s Division of Examinations announced its 2025 exam priorities yesterday. Here is what investment advisors need to know.

FINCEN has issued a new rule requiring SEC registered investment advisors to adopt an AML program. Here is what RIAs nee...
10/01/2024

FINCEN has issued a new rule requiring SEC registered investment advisors to adopt an AML program. Here is what RIAs need to know.

A new AML rule is imposing a number of new requirements for most SEC-registered investment advisors and certain exempt reporting advisors.

The compliance date for the SEC's short sale disclosure rule is just around the corner. Here is what RIAs need to know.
09/19/2024

The compliance date for the SEC's short sale disclosure rule is just around the corner. Here is what RIAs need to know.

The SEC adopted a new rule that requires certain institutional investment managers to report on Form SHO their short sale position data.

The SEC recently adopted amendments to Regulation S-P that require RIAs to adopt an incident response program. Here is w...
05/20/2024

The SEC recently adopted amendments to Regulation S-P that require RIAs to adopt an incident response program. Here is what you need to know.

The SEC adopted amendments to Regulation S-P that help enhance the protection of consumers’ nonpublic personal information.

In close to 50 years, the SEC has updated the reporting requirements with regard to Schedules 13D and 13G. Here is what ...
10/11/2023

In close to 50 years, the SEC has updated the reporting requirements with regard to Schedules 13D and 13G. Here is what you need to know.

Here is what investments advisors and fund managers need to know regarding the SEC's amended rules regarding beneficial ownership.

The SEC has amended Form PF. Here is what you need to know.
06/08/2023

The SEC has amended Form PF. Here is what you need to know.

The SEC adopted amendments to Form PF that increase the reporting requirements for certain private fund advisers.

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Seattle, WA
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