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.

Inform - Educate - Impact

Inform
NAIBD proactively investigates rule & regulation proposals for their impact on independent Broker/Dealers (IBDs), and communicates potential to membership in a clear and timely fashion. 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.

Educate
NAIBD hosts more than 10 educational meetings each year throughout the United States with qualified speakers from regulatory bodies such as the FBI, SEC, FINRA, and State regulators. We provide money and time-saving compliance information to members, and guide IBDs through industry issues via direct access to the NAIBD Board at a web based member feedback system and contact at all general meetings.

Impact
NAIBD's Member Advocacy Committee supports its IBD members in the face of proposed rules and regulations by participating in initiatives that convey the IBD industry position to the regulators through methods including drafting reproducible letters of response to Requests for Comment in the form of easy to access, online templates. NAIBD also streamlines communication from IBDs to regulatory agencies and back again, while lobbying support and nominations for members who seek to serve on regulatory and other industry committees and panels. 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.

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NAIBD News

» 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 Compliace Reporter [View]

» A Notice regardingFINRA'sMutual Fund B Share Calculator [View]

» Watch Chairwoman LaRae Bakerink's interview on Closing Bell. [View]

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