The NSCP 2026 National Conference covers a broad range of regulatory and operational priorities for broker-dealer and investment adviser compliance teams. This guide highlights the sessions most closely aligned with RightBRIDGE workflows for recommendation analysis, annuity oversight, documentation, supervisory review, AI-assisted processes, and ongoing monitoring.
MONDAY, OCTOBER 26
2a · BD/IA
1:30-2:45 PM
RightBRIDGE Relevance: Product Profiler and the RightBRIDGE Wizards support structured client-data capture, firm-configured analysis, and consistent recommendation documentation across suitability and best-interest workflows.
MONDAY, OCTOBER 26
2d · BD/IA
1:30-2:45 PM
RightBRIDGE Relevance: Investment Wizard supports firm-defined product shelves, investment-level checks, comparison workflows, and documentation that can help standardize how approved products are evaluated within a recommendation process.
MONDAY, OCTOBER 26
2e · ALL LAB
1:30-2:45 PM
RightBRIDGE Relevance: Configurable questionnaires, rules, review workflows, reporting, and training resources can help firms translate policy changes into repeatable processes and consistent documentation.
MONDAY, OCTOBER 26
General Session · OPEN
3:15-4:15 PM
RightBRIDGE Relevance: RightBRIDGE+ places AI-assisted review and document processing within structured compliance workflows that retain human review and firm oversight.
TUESDAY, OCTOBER 27
3d · PF
10:00-11:00 AM
RightBRIDGE Relevance: Product Profiler and Investment Wizard can support structured suitability, client-profile, product-comparison, and documentation workflows as firms evaluate more complex investment offerings.
TUESDAY, OCTOBER 27
3e · BD/IA/INSURANCE LAB
10:00-11:00 AM
RightBRIDGE Relevance: Annuity Wizard supports annuity suitability and best-interest workflows, product and rider analysis, firm product shelves, replacement analysis, and consistent recommendation documentation.
TUESDAY, OCTOBER 27
4d · ALL LAB
11:30 AM-12:30 PM
RightBRIDGE Relevance: RightBRIDGE monitoring and dashboard capabilities can help firms organize alerts, exceptions, transaction reviews, account-level surveillance, and related supervisory follow-up.
TUESDAY, OCTOBER 27
4e · ALL
11:30 AM-12:30 PM
RightBRIDGE Relevance: The RightBRIDGE suite connects structured data capture, rules-based analysis, documentation, review, monitoring, and integrations to reduce fragmented compliance workflows.
TUESDAY, OCTOBER 27
5a · ALL
1:30-2:45 PM
RightBRIDGE Relevance: RightBRIDGE+ supports focused AI-assisted use cases such as reviewing case notes and extracting document data while preserving human review within established compliance processes.
TUESDAY, OCTOBER 27
5e · BD LAB
1:30-2:45 PM
RightBRIDGE Relevance: Investment Wizard supports configurable client and product analysis, reasonably available alternative workflows, and standardized documentation for complex and alternative product recommendations.
WEDNESDAY, OCTOBER 28
6a · ALL
10:00-11:00 AM
RightBRIDGE Relevance: Standardized workflows, dashboards, case review tools, and training resources can help compliance teams apply firm policy more consistently and use technology-supported decision processes.
WEDNESDAY, OCTOBER 28
7c · BD/IA
11:30 AM-12:30 PM
RightBRIDGE Relevance: Product Profiler supports rollover-related fact gathering and documentation, while Investment Wizard supports firm-configured analysis for retirement, platform, portfolio, and investment recommendations.
WEDNESDAY, OCTOBER 28
7d · ALL LAB
11:30 AM-12:30 PM
RightBRIDGE Relevance: RightBRIDGE+ provides defined AI-assisted workflows with configurable instructions and human review, creating a practical context for evaluating use cases, limitations, oversight, and data handling.
WEDNESDAY, OCTOBER 28
7e · ALL LAB
11:30 AM-12:30 PM
RightBRIDGE Relevance: Configurable intake, rules-based analysis, case review, and monitoring can help firms document concerns and route recommendations or activity for additional supervisory review.
RightBRIDGE connects configurable pre-sale and pre-trade analysis with documentation, case review, book management, and post-transaction monitoring. The modular suite allows firms to focus on the workflows most relevant to their business and compliance program.
Product Profiler®, Investment Wizard®, Annuity Wizard, and Life Insurance Wizard®.
Focused support for reviewing submitted notes and extracting data from source documents, with human review.
Annuity Book Management and configurable opportunity or review flags.
Transaction, account, and financial professional monitoring supported by configurable alerts and review workflows.
Schedule time at NSCP 2026 to discuss the compliance workflows behind your 2026 priorities.
Session titles, dates, and times are provided as a planning aid and may change. CapitalROCK is not the organizer of the NSCP National Conference and does not imply endorsement by or affiliation with NSCP. RightBRIDGE relevance statements describe CapitalROCK product capabilities and are not descriptions of session content. Attendees should verify current agenda details with the conference organizer.
Meet with CapitalROCK at Booth #51 to explore how RightBRIDGE can support configurable recommendation, documentation, supervision, and monitoring processes.
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