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.

More Events >>

About NAIBD

The NAIBD has a 30 year history of informing, advocating and educating its membership. A non-profit mutual benefit corporation, NAIBD is governed by a nine-member Board of Directors. Standing committees include Membership, Education, Conference/Event and Member Advocacy.

NAIBD offers two categories of membership. All duly licensed, FINRA Registered Broker-Dealers are invited to submit an application for general membership. Vendors offering services relevant to our members may submit an application for Industry Associate Membership. Membership in either category is based on approval by the NAIBD Board of Directors.

NAIBD membership is comprised of a broad spectrum of the securities industry, including full services retail firms, introducing and clearing firms, specialty firms in many varieties and dual registrants, among other business models.

The nine members of the Board of Directors have either served or are serving on advisory boards, boards of other industry related organizations, FINRA Committees, FINRA’s Small Firm Advisory Board and Board of Governors. Many speak at several industry conferences each year. The goal of Board member selection is to gain the insight of a broad range of business models so that the NAIBD can react to and represent its very diverse membership.

To Inform
NAIBD proactively analyzes SEC and FINRA rule & regulation proposals to determine their impact on independent Broker-Dealers (IBDs), and communicates the implications of those rules to its membership in a clear and timely fashion through weekly email messages. 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.

To Educate
NAIBD hosts monthly web casts on current issues facing the industry. These are free to our members. We hold two full day symposia each year, one on the East coast and one on the West coast. The speakers at these symposia are experts from the industry as well as from regulatory bodies such as the FBI, SEC, FINRA, and NASAA. We provide time-saving compliance information to members, and guide IBDs through industry issues via member meetings, symposia, webinars and access to the NAIBD Board of Directors.

To Advocate
NAIBD's Member Advocacy Committee (“MAC”) actively represents its members regarding of proposed rules and regulations. The MAC conveys the IBD industry position to the regulators through drafting reproducible responses to Requests for Comment and through pro-active interactions with government and regulatory bodies such as MSRB and PCAOB, senators and congressmen in Washington DC, as well as state regulators and legislators.

Industry Associate Membership
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. NAIBD IAMs provide members with valuable insight through web seminar and conference sponsorship, and through periodic special offers directly related to the needs of our membership.