Upcoming Events


Webinars - TBA

 


View Past Webinars

Stretching Your Compliance Budget: Tips and Tricks
October 27, 2011

Broker/Dealer E&O Liability Coverage- Hosted by: Conrad M. Deneault, The Daniel and Henry Co.

 

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.

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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.

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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


Rick Ketchum, FINRA, delivers keynote at NAIBD’s 2011 Fall Symposium

The NAIBD Fall Symposium was held Monday, November 14 in New York, New York. Thank you to all who were able to attend. Highlights from the event can be found here.

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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