Archive Links

Consumer Archive
CU System Archive
Market Archive
Products Archive
Washington Archive

News Now

CU System
CUNA Brokerage officer elected to FINRA district committee
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.


RSS print
News Now LiveWire
Another state will probe the Experian data breach; learn more in tomorrow's edition of #NewsNow #CUNA #creditunions
16 hours ago
Canada's @Vancity to support phase 3 of @WOCCU's Build the Brand http://t.co/6IMSvA8LMZ
16 hours ago
Yesterday, #creditunions across the country encouraged members to #gogreen on #EarthDay http://t.co/boBamaLJoh #greenliving
19 hours ago
As ticket prices for sporting events soar, #creditunions are pitching in to drive down costs for members http://t.co/EgrrtkVlgt
21 hours ago
Shodair Children's Hospital in MT receives #NCUF @BizKidsTV, thanks to @mtcus4you http://t.co/oxGAbqpU5h
21 hours ago