NAIBD Members May View All Past Webinars, Including:

Guilty Until Proven Innocent - What You Need to Know About Arbitration
The world has changed, or has it? Some things never change: death, taxes and customer complaints!

Panelist will share stories on selling away and straight loss situations and evaluate what was done correctly and what was done incorrectly. These arbitration experts will provide tips on preventative measures and what to do when you receive a complaint.

Regulatory Update
Lisa Roth, NAIBD Past Chair, Keystone Capital Corp.

Hiring and Retaining Top Talent
Rosanne Roberts, Roberts & Associates, LLC.

Compliance Issues Posed by LinkedIn, Twitter, Blogging & Social Networking

Couldn't attend? NAIBD members can see and hear a complete recording of the webinar by logging into the Members Only section.

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About NAIBD

The National Association of Independent Brokers Dealers, Inc. (originally named California Association of Independent Broker/Dealers) was formed in 1979 by five Southern California Broker/Dealers so they might meet regularly to discuss areas of common interest such as Due Diligence, Compliance and Regulation. The organization is now national in scope and direction with 150+ Broker/Dealer and Industry Associate Members. Its members enjoy numerous benefits including: educational meetings and symposiums held across the country, up to date compliance notices and commentary regarding regulatory changes, rebates and discounts from industry vendors and numerous networking opportunities, just to name a few.

Since that first meeting in 1979, a great variety of subjects have been added. Principals have shared experiences and attitudes with their counterparts in other firms, generating a body of knowledge available to the entire membership. When necessary, members can also benefit from shared legal counsel or have access to legal opinions that will serve the interests of all.

A non-profit mutual benefit corporation, NAIBD is governed by a nine-member Board of Directors. Operating committees include Membership, Programs, Compliance & Regulation, and Communication/Coordination. Membership is open to duly licensed, FINRA Registered Broker/Dealers by application and Industry Associates (vendors) of integrity by specified application all based upon approval of the NAIBD Board of Directors.

Inform - Educate - Advocacy

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 member meetings, symposiums, webinars and access to the NAIBD Board of Directors.

Advocacy

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.