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. Energized by challenges to balance regulatory and best practices with a business perspective, BDIA strives to give its clients thoughtful guidance for their advertising and marketing initiatives through a commitment to work with all management and producer levels to support complex-to-simpler marketing activities to ensure communications are not only compliant but also meet financial professionals' high standards.
Subscribers to BDIA submit advertising and marketing materials using an easy, online tool that automatically tracks a submission from beginning to end, eliminating faxes and long-winded emails. BDIA helps its members manage the inherent risks of communicating with their retail and/or institutional audience, instead of multi-step workflows. The automated submission, tracking, and cloud-storage software is secure and fully compliant with SEA 17 CFR 240.17a-4. BDIA Communications Regulation does not provide Series 24 or Supervisory Analyst approvals of subscribers' content but every item receives the Founder's 15+ years' experience interpreting SEC regulations and FINRA communications rules, every time!
Does your Compliance team need support during audit cycles, PTO, or between hires; or does it need a dedicated resource — your Compliance team can tap into BDIA, too.
"But we need Principal approval, Chris!" •••••••
Are your written supervisory procedures (WSPs) current with SEC regulations and SRO rules for advertising, marketing, and other communications? Need help writing or reviewing these? BDIA has noshed and digested these for many years, so reach out for help with yours.
BDIA Communications will work with advertising agencies and other third-party content providers to help ensure their creative work meets regulatory standards for their Broker-Dealer or Investment Adviser clients. BDIA won't butcher copy but will help you strike or replace problematic language and images — context is key, and suggested edits are always free! Need a compliant perspective for a TV or radio spot? BDIA can review these, too, plus the online submission tool will successfully accept up to :60 and longer audio and video files.
If your project is still in draft stages and all you need 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 call on
BDIA to help you deliver a final version.
New Broker-Dealers, or Financial Planners Launching an Independent Practice: BDIA will help steer your advertising and marketing efforts down the right path if you're launching a new Firm or transitioning to a different business model. Maybe your new B-D is still building its Compliance team, or maybe you're an unregistered financial planner who wants to emulate the communications standards of your registered competitors — guess what — navigating SEC regulations and FINRA communications rules alone could create a time-consuming learning curve, thus removing your focus from your clients.
BDIA is here to support you.
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
Monday through Friday 8:00AM to 4:30PM CT
BDIA Communications Regulation & its logo are registered trademarks of
BDIA Communications Regulation LLC.