About BDIA

What is BDIA Communications Regulation™?

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

 

 

 

  • BDIA Communications Regulation is a consulting business, created specifically to support Broker-Dealers, Investment Advisers, or financial planning professionals committed to distributing SEC- and SRO-compliant advertising, marketing or other content to their existing or prospective retail/institutional customers.  

  • BDIA clients receive guidance directly from Chris Holmes, Founder & Consultant.  She is a veteran of the Broker-Dealer and Investment Adviser professions, having dedicated 15+ years to interpreting/applying SEC regulations and FINRA rules to Broker-Dealer and Investment Adviser advertising, sales and marketing content.  Chris also taps her 6 years’ experience and insight gained from previous employment with a mid-sized, full-service advertising agency headquartered in Dallas where she learned her copy editing and proofreading skills from hands-on training. 

  • Chris has helped Broker-Dealers and Equity Research Analysts successfully navigate significant changes in SEC regulations and FINRA rules following the Global Research Analyst Settlement of 2003, and the 2013 consolidation of NASD and NYSE Communications Rules into FINRA Rule 2210. 

  • Chris has passed FINRA securities license exams, Series 3, 7, 24, 30, 66 and 87, which remain active.  As a formerly registered General Securities Principal, Research Principal, and NFA Branch Manager, she has evaluated many types of communications, including:

    • Equity Research Reports & General Market Commentaries/Letters

    • Seminar Materials

    • Radio & Television Spots/Scripts

    • Brochures, Flyers & Mailers

    • Website & Social Media Content

    • Corporate Branding & Marketing Campaigns

    • RR & IAR Biographies

    • Slideshow Presentations and other Promotional Content

    • Business Cards & Stationery

  • Chris has also created generic and product-specific disclosure templates and corporate written supervisory procedures related to communications with the public and advertising/marketing materials.  

  • Chris has worked directly with Executives, Legal teams, OSJ/Branch Managers, RRs, IARs, Equity Research Analysts, Creative/Marketing Specialists and IT staff to distribute compliant advertising and marketing content to retail and institutional investors.

 

Learn more about Chris from her LinkedIn Profile.