Upcoming Events

NRS Fall Compliance Conference for Investment Advisers and Broker-Dealers. More Information


The 2012 Annual Symposium has been cancelled. Watch for more information about upcoming programming.

 


View Past Webinars

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

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The NAIBD Serves as an Advocate
for the Broker/Dealer Community

The Voice of the 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.

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Effective membership is required for participation in our programs, including the E&O Share program.

E&O Insurance for NAIBD Members

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In the Spotlight

NAIBD Supports SIPC in its SEC Case on Stanford

Standing firm to the belief that the brokerage industry should not be obligated to provide a backstop for alleged fraudulent investment schemes, the National Association of Independent Broker/Dealers (NAIBD) expressed their support of the Securities Investor Protection Corporation (SIPC) in a letter to Security Exchange Commission (SEC) Chairman, Mary Schapiro dated February 16, 2012.

NAIBD is encouraging its members to express SIPC support by signing their online petition.

 

In the News

Finra's Ketchum 'not apologetic' about waivers or Corzine's free pass
MF Global boss received no favoritism, regulator's CEO says; decision 'never bubbled up' to senior management. Click here to read the full article. – InvestmentNews

Muni regulator puts pay to play, other proposals on hold
MSRB will wait until SEC issues definition of municipal adviser; ‘hallelujah'. Click here to read the full article. - InvestmentNews

Broker-Dealers Chafe Under Audit Inspections. Broker-dealers are urging regulators to consider the nature and variety of services provided in deciding which firms should be subject to an audit inspection program under Dodd-Frank. Click here to read the full article – Markets Media

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