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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.
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NAIBD News
» NAIBD's Member Advocacy Committee (MAC) Visits Capitol Hill [View]
» NAIBD in the News [View]
» NAIBD Holds Emergency Board Meeting to Address Potential Member Concern [View] » NAIBD Technology and Compliance Symposium to Address Issues Affecting Independent Broker/Dealers [View] » NAIBD to Hold Symposium at NASDAQ 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] » Response to Request for Comment; Notice to Members 07-12 [View] » NAIBD announces it's endorsement of the NASD/NYSE consolidation [View] » President Lisa Roth in Compliance Reporter [View] » A Notice regarding FINRA's Mutual Fund B Share Calculator [View]
NAIBD Board of Directors and Officers Chairman Emeritus: Al Monahan Chairman Emeritus: M. LaRae Bakerink Past Chairman: Lisa J. Roth Chairman: Steve Distante President: Donald Steel Treasurer: James Williams Director: Tim Morton Director: Robert Hackel Director: Brian Kovack Director: Nicholas Cochran Director: David Sobel Director: Maureen Maloney
Contact Information: 191 Clarksville Road Tel: (888) 646-2423 | |