NCCI was formed in response to the industry’s expressed need for an “Outsourced Compliance Department” –-an accessible, experienced, reliable and professional compliance and regulatory information resource for Broker-Dealers and Registered Investment Advisors.

NCCI has been engaged by clients in connection with projects for the Securities and Exchange Commission (SEC) and state jurisdictions as a qualified securities industry consultancy. NCCI maintains ongoing contact with the SEC, state securities administrators and all NASD Regulation District Offices.

Located in Chicago, Illinois and serving domestic and international clientele, NCCI is a leading resource for Compliance and Registration Consulting, Broker-Dealer and Registered Investment Advisory services, as well as Buying/Selling Broker-Dealers or books of business.

Our Mission

· To provide superior compliance and consultancy services for our Broker-Dealer and Registered Investment Advisory clientele.

· To leverage the broad knowledge, expertise and experience of our industry professionals, and to reliably deliver meaningful results in meeting the specific needs and expectations of our clientele.

· To provide clientele prompt access to NCCI professionals --facilitating efficient, effective and timely response.

· To guide, instruct and educate our clientele -- promoting an environment that cultivates and values an informed and independent client.

Our Values

The Professionalism, Experience, Accessibility and Knowledge provided by NCCI to our clientele is at the very core of our values, and is essential to our purpose and ongoing success in serving your needs.

Professionalism
Our greatest strength lies in our dynamic professionals. Their extensive industry experience and broad compliance knowledge-base is an essential asset to NCCI and our clientele. We leverage these professionals in service of your needs, expectations and demands. Our professionals are efficient, confidential, prompt and courteous. All NCCI professionals are licensed.

Experience
NCCI recognizes that access without experience is meaningless. Our value to our clientele is firmly predicated upon a sound foundation of extensive industry experience and compliance expertise. Indeed, our professionals have provided valuable assistance to Broker-Dealers and Investment Advisory clientele nationally since 1987, and have industry engagement spanning nearly 30 years.

Accessibility
While many compliance issues and concerns are routine, difficult or complex compliance matters are rarely anticipated or welcome. NCCI works diligently to deliver a rapid, reliable and results-oriented response to these issues and concerns. To ensure your ongoing satisfaction and access to NCCI’s resources, our professionals are available on-demand by phone, facsimile, e-Mail and/or post.

While clientele enjoy access to NCCI’s full complement of professionals, NCCI provides each client a dedicated professional to facilitate improved communication and proper continuity.

Knowledge
Knowledge is a valuable commodity, and NCCI offers its clientele an indispensable and informative resource. Through the guidance and instruction offered through our professionals, NCCI assists clientele in effectively identifying, addressing and resolving basic and complex compliance challenges. Further, NCCI is dedicated to the education of our clientele; promoting client independence while providing a trusted resource when necessary.

Management

Marc B. Horin
President

Marc Horin founded NCCI in 1987 to supply the growing industry demand for an accessible, experienced, reliable and professional compliance and regulatory information resource for Broker- Dealers and Registered Investment Advisors.

Mr. Horin remains actively engaged in the daily activities and management of NCCI, and continues to serve as the company’s driving force for superior compliance and registration consultation and services.

Mr. Horin provides significant expertise and experience within the securities industry to NCCI's clientele. Since 1974, Mr. Horin has served in a number of key capacities within the securities industry, including serving as a Floor Governor and Floor Trading Committee member for three exchanges, and as Compliance and Operations Liaison for OTC and Block Trading. Mr. Horin served as a Senior Examiner and Instructor with the NASD from 1982 to 1987, and is a regular speaker at industry conferences and meetings.

Mr. Horin is an Arbitrator with AAA, NASD and NYSE.

In addition to NCCI, Mr. Horin currently owns and operates a successful Broker-Dealer and Registered Investment Advisory.