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.

Your first meeting could be our half day Compliance Forum, January 28, 2014!

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

Upcoming Meetings

January 28, 2014: First Annual NEBDIAA Compliance Forum

Our first annual NEBDIAA Compliance Forum will have a networking lunch, a half day of meetings and will wrap it all up with a networking reception. Topics addressed by our Keynote, Panel and Roundtable Discussion Groups will include hot topics for regulators, prevention tips for enforcement, best practices and more. We will also have a representative from Boston’s Home for Little Wanderers.

Lunch 12:00-12:50 p.m.

12:30-12:50 p.m.  Special Presentation About The Home for Little Wanderers, which has been helping children and families in Massachusetts since 1799.  Representative of this 501(c)3 organization will introduce their mission and how professionals such as ourselves can make a positive impact on the lives of children in need through mentoring and other programs.  Proven results for helping children succeed in tough environments!

1:00-1:20 p.m. Welcome and Introduction

1:25-2:30 p.m. The Security and Reliability of Business Partners (due diligence; financial intermediaries)

Speakers: John Gentile, Ascendant Compliance Management; Kasey Lekander, WilmerHale; Rosa Licea-Mailloux, Natixis

2:30-2:45 Break

2:45-3:15  Open Discussion

NEBDIAA Members will have this opportunity to introduce themselves, ask questions, talk about their services, or preview/test questions for the final regulatory panel of the day.  NEBDIAA’s mission is to provide networking opportunities among compliance professionals and this open microphone will foster that mission.  Our opportunity to share compliance tips, questions and regulatory questions with our peers.

3:20-4:30  IA/BD Examination Priorities for 2014       

Josh Grinspoon, IA/IC SEC Examiner and Rob Sulik, Surveillance Director, FINRA, will preview 2014 examination priorities and regulatory initiatives for 2014.

Speakers: Josh Grinspoon, SEC; Mike Mahoney, John Hancock; Rob Sulik, FINRA; Jack Sylvia, Mintz Levin

4:30-6:00 Networking Reception

NEBDIAA Members can register for the program by emailing

Preview: NEBDIAA’s next quarterly meeting will focus on Electronic Recordkeeping Best Practices for Financial Industry

Past Meetings

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.