Welcome to BDIA Communications Regulation™!

Risk Management Consulting by
Chris Holmes, FPQPTM


FINRA Series 3, 7, 24, 30, 66, 87
Advertising & Marketing Reviews

 


BDIA Communications Regulation LLC is Listed in the
FINRA Compliance Vendor Directory 
 

  

 

 

BDIA focuses on Broker-Dealer communications and Investment Adviser marketing and advertising. Motivated by challenges to balance regulatory and best practices with a business perspective, BDIA strives to provide clients thoughtful guidance for their advertising and marketing initiatives.

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Submit advertising and marketing materials 24/7 using online software that automatically tracks submission workflows, eliminating faxes and long-winded emails.  BDIA helps its clients manage the inherent risks of communicating with their retail/institutional audience, instead of internal multi-step workflows.  The automated submission, tracking, and cloud-storage software used by BDIA is secure and compliant with

SEA 17 CFR 240.17a-4


BDIA Communications Regulation 
does not provide Series 24 or Supervisory Analyst approvals.

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Does your Compliance team need support during audit cycles, PTO, or between hires; or does it "wish" for a dedicated resource for reviewing advertising/marketing content  then tap into BDIA, too!


Please call BDIA at 214-932-9172 to discuss an independent contract relationship for outsourcing Series 24 approval.

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Need help evaluating or creating your written supervisory procedures (WSPs) to meet SEC regulations/SRO rules for advertising, marketing, and other communications?  BDIA has noshed and digested these for years, so reach out for help with your WSPs.

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BDIA will work with advertising agencies and other third-party content providers to help ensure their creative work meets regulatory standards for their Broker-Dealer, Investment Adviser, or Financial Planning clients.  BDIA doesn't butcher copy but will identify problematic language and images  context is key, and suggested edits are always free!  Need compliance perspective for TV or radio spots/scripts?  BDIA can review these, too, plus the online submission software successfully accepts up to :60 and longer audio/video files.

   

If your project is still in draft stages and all that's needed is copy editing or proofreading, BDIA can provide the fresh eyeballs and objectivity that's missing at the end of your rope, so don't hesitate to ask

BDIA for help to deliver a final version.

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New Broker-Dealers, Investment Advisers, or Financial Planners launching an independent model or transitioning to a different model
:  BDIA will help steer your advertising and marketing efforts down a compliant path.  Maybe your new business is still building its Compliance team, or maybe you're an unregistered financial planner who wants to emulate the communications standards of your registered competition — well, navigating SEC regulations and FINRA communications rules alone could create a time-consuming learning curve, thus redirecting focus from your clients. 

BDIA is here to support you.

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PICK A PLAN

 

 



Chris Holmes, FPQPTM
Compliance Consultant & Founder
BDIA Communications Regulation LLC

1910 Pacific Avenue, Suite 7062-1007
Dallas, TX 75201
P/T/F:  (214) 932-9172
[email protected]
M-F 8:00AM to 4:30PM CT

BDIA Communications Regulation & its logo are registered trademarks of

BDIA Communications Regulation LLC.