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


The New England Broker Dealer Investment Adviser Association (“NEBDIAA”) provides its members a trusted forum to network and share regulatory and financial related best practices and information among legal and compliance professionals.


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

NEBDIAA Quarterly Meeting
January 24, 2019
12:00- 2:00
Federal Reserve Bank of Boston
New England Room
600 Atlantic Ave
Boston MA

Networking luncheon from 12:00 to 12:30pm.
Followed by guest speakers Anthony Drenzek, Special Regulatory Counsel, Proskauer, and Jeanette Turner, Chief Regulatory Officer, Compliance Solutions Strategies, regarding ADV amendment common issues and tips. EJ Yerzak, Director of Cyber IT Services, Compliance Solutions Strategies, will also share information regarding cryptocurrencies and digital assets.

In addition to the presentation, there will be a discussion on current compliance topics, including the recently published 2019 OCIE examination priorities, as well as recent examination trends and enforcement actions.

Next Meeting
April 8th, 2019
12:00- 2:00
Federal Reserve Bank of Boston
New England Room
600 Atlantic Ave
Boston MA

Agenda to follow


NEBDIAA Members can register for the program by emailing


NEBDIAA Board of Directors:

Kara Brown, Counsel – Sidley Austin LLP
Michele Riggs, Senior Compliance Administrator – Adviser Compliance LLC
Tanya Kerrigan, General Counsel & CCO – Boston Advisors, LLC
EJ Yerzak, Partner – Ascendant
Peter Guarino,
Mike Timmermans, Assistant CCO – Longfellow Investment Management
David Vallon, Senior VP, CCO – Natixis Global Asset Management
Larry Kaplan, Managing Director – CBIZ Tofias
Joshua Cook, AVP & Senior Counsel – John Hancock

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