MADISON, Wis. (12/19/12)--Tim Halevan, chief compliance officer at CUNA Brokerage Services Inc. (CBSI), has been elected to the Financial Industry Regulatory Authority (FINRA) District Committee for District 4.
As a FINRA district committee member, Halevan will, among other things, serve as a panelist in disciplinary proceedings in accordance with FINRA rules; consider and recommend policies and rule changes; and educate FINRA members and others about the purposes and work of FINRA and FINRA Regulation.
As CBSI's chief compliance officer, Halevan is responsible for strategic oversight and supervision of the compliance activities of CBSI's registered representatives, advisers, licensing/registration and home office activities, said Jim Metz, president/CEO of CBSI.
Halevan joined CBSI in 2001. Previously he was director of corporate compliance at a large financial services holding company. His experience includes oversight for compliance in areas under the Securities and Exchange Commission, FINRA, Violent Crime and Control Act, the Gramm-Leach-Bliley Act and Federal Sentencing Guidelines. He has served in the securities business for 20 years.