This three-year term allows Travis to represent all Mid-West Broker Dealers in advising FINRA on industry trends of regulatory concern, provide input on the impact of FINRA's regulatory programs, and serve as a panelist in disciplinary proceedings.
MADISON, Wis., Feb.1, 2023 /PRNewswire-PRWeb/ -- Harbour Investments, Inc., an independent registered investment advisor and broker dealer, announces the election of its Chief Compliance Officer ("CCO"), Travis Bator, to FINRA's Mid-West Regional Committee.
In his term Travis will represent over 360 investment firms registered with FINRA within the Mid-West. This position allows Travis to bring FINRA's attention to issues facing the industry as a whole, as well as serving as a panelist in FINRA's Office of Hearing Officers ("OHO") disciplinary hearings. FINRA currently has five regional committees, with each committee member being elected by the firms within each region.
President and CEO Aaron Hager said: "Having Travis elected to this position is a testament to the positive view our competitors have of us, and allows us to deepen key relationships with our peers while also continuing to take effective action on regulatory matters as they are made public. Without a doubt, our financial professionals appreciate having a connection within Harbour who can truly take their concerns to our regulators in meaningful ways."
Regional Committee Elections occur each year and elected officials serve for three year terms.
About Harbour
Harbour Investments, Inc., ("Harbour") is an independent registered investment advisor and broker dealer with over 220 advisors in 14 states. Harbour is known nationally as 2-time winner and numerous runner up of Investment Advisor Magazine's prestigious Broker Dealer of the Year Award. Member FINRA/SIPC.
For more information please visit our website http://www.harbourinv.com
Media Contact
Aaron Hager, Harbour Investments, 1 (608) 662-6100, [email protected]
SOURCE Harbour Investments
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