October NEBDIAA Meeting

While we had all hoped we would be able to meet in-person for NEBDIAA’s October meeting, prudence during the pandemic dictates otherwise. The good news is that we are able to hold our quarterly meeting virtually.

NEBDIAA’s next meeting will be held on Monday, October 26, 2020 from 2:30 – 4:00 pm.

The discussion will be driven by the topics addressed in the SEC’s Risk Alert “Select COVID-19 Compliance Risks and Considerations for Broker-Dealers and Investment Advisers” issued in August 2020 (https://www.sec.gov/files/Risk%20Alert%20-%20COVID-19%20Compliance.pdf).

We’ll consider:

· Protection of Investor Assets

· Supervision of Personnel

· Fees, Expenses and Financial Transactions

· Investment Fraud

· Business Continuity

· Protection of Sensitive Information

Our meeting is open to all members and industry colleagues at no charge. Please be sure to register in advance of the meeting and bring your questions and company practices to exchange ideas with the group.

ZOOM Information:

Topic: NEBDIAA Quarterly Meeting (October 2020)

Time: Oct 26, 2020 02:30 PM Eastern Time (US and Canada)

Join Zoom Meeting

https://us02web.zoom.us/j/87368499553?pwd=enlYZlFzd1l1c1UwdUEydVVNUGNsUT09

Meeting ID: 873 6849 9553

Passcode: 634878

One tap mobile

+19292056099,,87368499553#,,,,,,0#,,634878# US (New York)

+13017158592,,87368499553#,,,,,,0#,,634878# US (Germantown)

Dial by your location

+1 929 205 6099 US (New York)

+1 301 715 8592 US (Germantown)

+1 312 626 6799 US (Chicago)

+1 669 900 6833 US (San Jose)

+1 253 215 8782 US (Tacoma)

+1 346 248 7799 US (Houston)

Meeting ID: 873 6849 9553

Passcode: 634878

Find your local number: https://us02web.zoom.us/u/kbCHiSSOF7

We look forward to seeing you at the meeting.

NEBDIAA Board of Directors

October 26, 2020: NEBDIAA Quarterly Meeting

Time & Location

About the Event

NEBDIAA

Subscribe

Quick Links