The Voice of the Independent Broker/Dealer

Our purpose is to positively impact rules, regulations, and legislation by facilitating a consistent, productive relationship between industry professionals and regulatory organizations and by providing education and member benefits for Broker/Dealers.

Inform - Educate - Impact

Inform
NAIBD proactively investigates rule & regulation proposals for their impact on independent Broker/Dealers (IBDs), and communicates potential to membership in a clear and timely fashion. We provide a professional forum for the sharing of information and common experience and manage a web-based platform of resources regarding issues most significantly affecting IBDs including: Compliance, Technology, Firm Management, and Back-office systems.

Educate
NAIBD hosts more several educational meetings each year throughout the United States with qualified speakers from regulatory bodies such as the FBI, SEC, FINRA, and State regulators. We provide money and time-saving compliance information to members, and guide IBDs through industry issues via direct access to the NAIBD Board at a web based member feedback system and contact at all general meetings.

Impact
NAIBD's Member Advocacy Committee supports its IBD members in the face of proposed rules and regulations by participating in initiatives that convey the IBD industry position to the regulators through methods including drafting reproducible letters of response to Requests for Comment in the form of easy to access, online templates. NAIBD also streamlines communication from IBDs to regulatory agencies and back again, while lobbying support and nominations for members who seek to serve on regulatory and other industry committees and panels. Through its Industry Associate Member program, NAIBD seeks viable industry partners whose support of the association results in numerous benefits to members, including consultative services, discounted programs and other meaningful benefits.

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NAIBD News

» NAIBD Holds Emergency Board Meeting to Address
Potential Member Concern [View]

» NAIBD Rings NASDAQ Stock Market Opening Bell. President Stephen Distante and Chairperson Lisa Roth presided over the Opening Bell on October 2, 2008. To read more and see photos [View]

» NAIBD Technology and Compliance Symposium to Address Issues Affecting Independent Broker/Dealers [View]

» NAIBD to Hold Technology and Compliance Symposium at NASDQ MarketSite in NYC [View]

» NAIBD Selects New Management and Marketing Firm [View]

» Senior Summit Summary Results are in [View]

» Reg SP Survey Summary Results are in [View]

Archived news can be found here.

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