Although Greater Boston is viewed as one of the top markets for broker/dealer and investment advisers in terms of funds under management and trading activity, compliance professionals in Greater Boston and throughout New England find that they are often required to travel great distances to find professional educational resources or to attend professional seminars and conferences. NEBDIAA was formed to help bring educational opportunities and valuable resource tools as well as networking opportunities closer to the workplace.

NEBDIAA's mission is to provide a variety of educational forums regarding compliance and regulatory issues, to introduce technology and other resource tools that serve to enhance each member's own operating and compliance systems, to secure group discounts, and to enhance communication by providing networking opportunities among its members. Over the past several years, NEBDIAA has hosted meetings on anti-money laundering policies, electronic record keeping, business continuity plans, proxy voting and custody rules, practical hints for preparing for an SEC inspection, and developing and testing of compliance programs. Our speakers include industry and professional experts as well as members of the regulatory authorities. In the end, NEBDIAA is for its members, and our membership is invited to submit comments and suggestions regarding the Association's goals, the content and functions of the website and the content of the educational program. All members are encouraged to complete the Membership Questionnaire located on this website or simply e-mail comments to us at nebdiaa@att.net.

NEBDIAA have seen the benefits that can be achieved when securities compliance professionals come together in a non-competitive environment. We hope you will consider making NEBDIAA part of your firm’s Continuing Education program.