About BDIA

BDIA Communications Regulation LLC is a consulting practice created by Founder, Christi Holmes ("Chris"), specifically for ongoing support of Broker-Dealer and Investment Adviser professionals committed to distributing SEC- and SRO-compliant advertising, marketing and other content to their existing or prospective retail and/or institutional customers.

BDIA clients receive direct guidance from Chris, who provides all clients with her 15+ years’ experience in the financial services industry and over 10 years’ experience executing compliance surveillance relative to securities industry regulations applicable to communications with the public.  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 passed securities licensing exams, Series 3, 7, 24, 30, 66 and 87, which remain active.  As a formerly registered General Securities Principal and Research Principal, she has reviewed/approved many Broker-Dealer and Investment Adviser materials over the last 15-20 years, including:

 

Chris can also help her clients craft generic and securities product disclosure/disclaimer statements or templates, as well as written supervisory procedures (WSPs).

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

Learn more about Chris from her LinkedIn profile .