The New England Broker/Dealer and Investment Adviser Association, Inc.


Incorporated in 1997, the purpose of NEBDIAA is to provide a forum for the professional exchange of information among investment advisers, broker dealers, and persons who provide services to investment advisers and broker dealers, and to direct communication among its members which will improve their ability to serve the needs of their respective clients. The forum helps members navigate an increasingly complex and ever-changing regulatory landscape. NEBDIAA is a non-profit organization.


Attend four seminars per year and be a part of the community of compliance professionals.

NEBDIAA meetings take place quarterly at the Federal Reserve Plaza, 600 Atlantic Ave., Boston, MA. Meetings are from 12pm-2pm and include lunch.

Annual Membership Dues: $125 per person, Guest Fee (must be sponsored by a member): $35

Upcoming Meetings

September 12, 2016 NEBDIAA Meeting and Luncheon


NEBDIAA Members can register for the program by emailing


Past Meetings

Mar 10, 2016: Third Annual NEBDIAA Compliance ForumJoin SEC, FINRA, Department of Labor, and financial services compliance professionals from across New England for a networking luncheon and an afternoon of meetings and discussion.

Dec 1, 2015: Quarterly Annual Meeting and LuncheonIncreased Scrutiny by Regulators of Cybersecurity; Speaker Ed Moyle, ISACA’s Director of Emerging Business and Technology

June 22, 2015: Second Annual NEBDIAA Compliance Forum

March 17, 2015: NEBDIAA Meeting and Luncheon

Feb 25, 2015: NEBDIAA Meeting and Luncheon

December 3, 2014: Quarterly Luncheon Meeting Channeling – Meet & Greet NEBDIAA Founders

September 18, 2014: Networking Reception at UMASS Club

June 16, 2014: Cybersecurity and FINRA’s New Supervisory Rule Speakers: Liz Page (FINRA), Keith Marks (Ascendant Compliance Management), Gregg Bienstock (Lumesis), Steve Ganis (Mintz Levin)

January 28, 2014   First Annual NEBDIAA Compliance Forum Speakers: Josh Grinspoon (SEC); Mike Mahoney (John Hancock); Rob Sulik (FINRA); Jack Sylvia (Mintz Levin); Kasey Lekander (WilmerHale); Rosa Licea-Mailloux (Natixis); Keith Marks (Ascendant Compliance Management)

September 12, 2013  Third Quarter Networking Meeting Moderator: Jackie Hallihan (Partner, Ascendant Compliance Management)

June 20, 2013  Are You a Fiduciary? Speaker(s): Mary Rosen (Associate Director, U.S. Department of Labor), Marcia Wagner (The Wagner Law Group), Liz Page (FINRA)

February 28, 2013  IT Governance and SEC Examinations  Speaker(s): E.J. Yerzak, Ascendant Compliance; Phil Sindel, Olmstead Associates, Inc.

December 20, 2012 Social Media in 2013: What We Need To Know Speaker(s): Gabriel Borthwick, MetLife;Steve Ganis, Mintz Levin; Victor Gaxiola, Actiance; Tim Silva, Wilmer Hale

September 26, 2012 Speaker(s): Michael Garrity, U.S. Securities & Exchange Commission (Boston). Moderated by Keith Marks, Ascendant Compliance.

May 8, 2012 Speaker(s): Joshua Cook, John Hancock Financial Services and Keith Marks, Ascendant Compliance.

February 6, 2012 Speaker(s): Keith Marks, Ascendant Compliance and Jackie Hallihan, Ascendant Compliance.

Annual Membership Dues: $125 per person, Guest Fee (must be sponsored by a member): $35.

NEBDIAA Board of Directors:

Keith Marks, Director, President
Larry Kaplan, Director, Treasurer
Tim Dwinal, Director
Joshua Cook, Director
Jackie Hallihan, Director, Clerk

With questions or for more information,
please email,
visit our LinkedIn group, or call 860-435-2255.