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.


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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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News Room


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Press Releases | Articles

Press Releases


»NAIBD Supports
SIPC in Stanford Case
February 16, 2012


»NAIBD Board Supports David Sobel to Represent Small Firms
November 14, 2011

»NAIBD to Steer Members Through Challenging Financial Waters at 2011 Fall Symposium
October 31, 2011

» NAIBD Spring Symposium to Educate Members on Regulatory Changes
May 16, 2011

» NAIBD Helps Shape Meaningful Audit Programs for Broker/Dealers
March 23, 2011



» Rick Ketchum, Chairman and CEO of FINRA to Speak at NAIBD Fall Symposium
September 30, 2010

» NAIBD Member Advocacy Committee Helps Impact Federal Legislation
July 21, 2010

» NAIBD’s Spring Symposium to Help Members Overcome Challenges and Plan for Success
January 26, 2010



» Huge Auditing Cost Hikes Would Hit Broker-Dealers Accross the Board - NAIBD Calls for Change throught Garrett Amendment
October 28, 2009

» NAIBD to Hold Knowledge Exchange at New York Stock Exchange
July 15, 2009

» NAIBD Launches New Member Programs as Interest in ‘Going Independent’ Grows
April 29, 2009


» NAIBD’s Member Advocacy Committee Educates Key Legislators on the Effects of Proposed Amendments to H.R. 1212
April 7, 2009


» Bruce Kelly of InvestmentNews to Speak at the 2009 NAIBD Spring Symposium
March 12, 2009






» NAIBD Announces Support of President Obama’s Appointment of Mary Schapiro as SEC Chairperson
December 19, 2008


» 2009 NAIBD Spring Symposium Provides Business Development Tools for Independent Broker/Dealers
December 15, 2008


» NAIBD Holds Emergency Board Meeting to Address Potential Member Concerns
October 1, 2008


» NAIBD Technology & Compliance Symposium to Address Issues Affective Independent Broker/Dealers
September 22, 2008


» NAIBD to Hold Technology & Compliance Symposium at NASDAQ Marketsite in New York
August 27, 2008


» National Association of Independent Broker/Dealers Select Management and Marketing Firm for Strategic Growth Effort
August 14, 2008


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» Finra's Ketchum 'not apologetic' about waivers or Corzine's free pass - November 14, 2011


» Muni regulator puts pay to play, other proposals on hold - September 12, 2011


» Broker-Dealers Chafe Under Audit Inspections - March 29, 2011


» Independent Broker-Dealers Plead for Lower SIPC Fees - March 24, 2011


» Independent BDs Tell SIPC to Drop Excessive Fees Levied Post Madoff. If SIPC won't budge, NAIBD will take fee issue to Congress - March 23, 2011


» 2nd UPDATE: Finra Requests Comment On Disclosure Proposal - Wall Street Journal


» FINRA’s Ketchum on Dodd-Frank Fiduciary Standards and Exams - Complinet


» COMPLIANCE WATCH: Regulators Eye Brokers' Outside Business - Wall Street Journal


» Finra to Request Comment on Disclosure Improvements - NASDAQ.com


» Finra to Request Comment on Disclosure -Wall Street Journal


» Brokers Fear New FINRA Rules Will Hurt Business, Careers - FINS


» Finra board candidates from small B-Ds air big gripe about regulator - InvestmentNews


» Investing Advice for the Second Half of 2010 - Smart Money


» Financial Reform's Impact on Your Broker -Smart Money


» B-Ds Fret Over Proposed Placement Agent Rules - InvestmentNews


» Big Guys Fight Back - Financial Advisor


» Small Brokers Fight Auditing Proposal - Securities Industry News


» Small B-Ds Decry Hill Audit Proposal - InvestmentNews


» NAIBD Works to Prevent Audit Cost Hikes for IBDs - Registered Rep Advisorland


» Finra's Ketchum pitches - again - for adviser oversight - InvestmentNews


» FINRA's Ketchum Continues Push for Uniform Fiduciary Standards Among Advisors, BDs - Financial Planning

» Big Expense for Small Broker Dealers - An Interview with NAIBD Chairman Steve Distante - Dow Jones

» Executives Advise On Surveillance - Compliance Reporter
» FINRA's Ketchum Eyes Placement Agent Rules - Compliance Reporter

» NAIBD Director on CNBC's Squawk on the Street

» Senior Summit Summary Results are in

» Reg SP Survey Summary Results are in

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