Welcome::National Association of Independent Broker/Dealers

NAIBD’s Chairman Steve Distante discusses how regulatory changes will adversely affect small broker-dealers in his interview with the Dow Jones. Click on the following to read the full article, Big Expense for Small Broker Dealers - Dow Jones

Richard Ketchum, the chairman and chief executive of the Financial Industry Regulatory Authority Inc., told a gathering of brokerage firm executives at NAIBD’s Symposium that his group will be more aggressive about investigating the advisory activities of their brokers — regardless of whether it gets full regulatory authority to oversee investment advisers. Click here to read the full article - Investment News

Independent broker dealers and RIAs should be operating under the same fiduciary standard of care when dealing with investors, said Richard Ketchum, chairman and chief executive officer of the Financial Industry Regulatory Authority (FINRA) in a speech at NAIBD's Symposium. Speaking at the Fall Symposium of the National Association of Independent Broker Dealers, Ketchum continued to push FINRA’s message that it should be authorized to provide oversight to the investment advisory channel, especially in situations wherein intermediaries work for integrated, or dually registered, firms. Click here to read the full article - Financial Planning

Upcoming Events NAIBD 2010 Fall Symposium Tuesday, October 19 New York Stock Exchange New York, NY NAIBD's 2010 Fall Symposium will once again be held at the New York Stock Exchange. Registration is now open! Click here for more information and to get registered! View Past Webinars NAIBD Presents "An Hour with the FINRA Board of Governors Candidates" Regulatory Updates - What you Need to Know! Guilty Until Proven Innocent - What You Need to Know About Arbitration Regulatory Update Hiring and Retaining Top Talent 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. More Events >>	The NAIBD Serves as an Advocate for the Independent Broker/Dealer Community 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.	Insurance Programs NAIBD Health Care Plan NAIBD is proud to announce that we now have health care benefits for all NAIBD members. Read More >> Effective membership is required for participation in our programs, including the E&O Share program. E&O Insurance for NAIBD Members Read More >>

	In the Spotlight NAIBD Board of Directors with Congressman John Campbell (R-CA) at the 2010 Spring Symposium Click here for more information on the event. In the News NAIBD’s Chairman Steve Distante discusses how regulatory changes will adversely affect small broker-dealers in his interview with the Dow Jones. Click on the following to read the full article, Big Expense for Small Broker Dealers - Dow Jones Richard Ketchum, the chairman and chief executive of the Financial Industry Regulatory Authority Inc., told a gathering of brokerage firm executives at NAIBD’s Symposium that his group will be more aggressive about investigating the advisory activities of their brokers — regardless of whether it gets full regulatory authority to oversee investment advisers. Click here to read the full article - Investment News Independent broker dealers and RIAs should be operating under the same fiduciary standard of care when dealing with investors, said Richard Ketchum, chairman and chief executive officer of the Financial Industry Regulatory Authority (FINRA) in a speech at NAIBD's Symposium. Speaking at the Fall Symposium of the National Association of Independent Broker Dealers, Ketchum continued to push FINRA’s message that it should be authorized to provide oversight to the investment advisory channel, especially in situations wherein intermediaries work for integrated, or dually registered, firms. Click here to read the full article - Financial Planning More News >>

NATIONAL ASSOCIATION OF INDEPENDENT BROKER DEALERS HOME \| ABOUT NAIBD \| EVENTS \| NEWS ROOM \| ADVOCACY \| MEMBERSHIP \| MEMBERS ONLY \| CONTACT US