Thu, May 14 | Quarterly NEBDIAA Meeting

May 14, 2020 - Quarterly NEBDIAA Meeting

Registration is Closed
May 14, 2020 - Quarterly NEBDIAA Meeting

Time & Location

May 14, 2020, 2:00 PM – 3:00 PM
Quarterly NEBDIAA Meeting

About the Event


To NEBDIAA Members and Subscribers,

First and foremost, the NEBDIAA Board hopes you, your families and colleagues are well and safe.

As we all navigate through these uncertain times, we want you to know that you don’t have to do it alone.  NEBDIAA and your peers are here to help you tackle the compliance challenges you and your firm are facing.  Join fellow NEBDIAA members for a virtual meeting to discuss how others are addressing issues and learn about the experiences firms are having with regulators.  While no topic is off limits, areas will include:

  • Current SEC Exam Activity
  • BCP SEC Sweep Questions
  • Forms CRS and BD Preparedness
  • Remote Work Environment Recordkeeping Considerations
  • Client Service and Operational Challenges
  • Open Mic – Bring Your Own Questions

Date:  Thursday, May 14, 2020

Time:  2:00 – 3:30 pm  (add to calendar)

Where: The Comfort of Your Home Office via Zoom

Zoom: Zoom information will be mailed to you upon registration and again before the meeting.

Please register to attend no later than Monday, May 11, 2020 at: 

Guests are welcome at no cost to members. 

Thank You,


Registration is Closed