2005–2006 Filing Due Dates
NASD would like to remind members of their obligation to file
the appropriate FOCUS reports, Annual Audits, and Customer
Complaints by their due dates. The following schedule outlines
due dates for 2005. Questions regarding the information to be
filed can be directed to the appropriate District Office. Business
questions as to how to file the FOCUS report, resetting
2004 2005 Filing Due Dates
NASD would like to remind members of their obligation to
file the appropriate FOCUS reports, Annual Audits, Customer
Complaints, and Short Interest Reports by their due dates.
The following schedule outlines due dates for 2005. Questions
regarding the information to be filed can be directed to the
appropriate District Office. Business questions as to how to file
the
2003 - 2004 Filing Due Dates
NASD would like to remind members of their obligation to file the appropriate FOCUS reports, Annual Audits, and Customer Complaints by their due dates. The following schedule outlines due dates for 2004. Questions regarding the information to be filed can be directed to the appropriate District Office. Business questions as to how to file the FOCUS report, resetting
This article is intended to clarify a factual reference to SEC Rule 17a-4 (f)(2)(i) previously reported in the Fall 2000, Volume 14.3, of the NASD Regulatory & Compliance Alert.
SEC Rule 17a-4 (f)(2)(i)
Q: If a broker/dealer intends to store records using electronic storage media, can a third party vendor provide services to a broker/dealer if the third-party vendor is an affiliated
Reminder to NASD Members - Transactions with NASD and American Stock Exchange Employees
NASD members who carry brokerage accounts for NASD, NASDAQ, or American Stock Exchange employees are reminded of the need to promptly implement employees' instructions calling for duplicate statements to be provided to NASD. This requirement is set forth in NASD Rule 3090(a), which provides that "[w
Update to Web CRD Firm Notification Functionality
NASD, as part of its continuing efforts to assist member firms in fulfilling their compliance and registration-related requirements, is introducing an expanded e-mail notification service to all firms beginning August 22. The e-mail notifications, which are listed below, are intended to assist firms in identifying (1) material changes to a
Revision to Net Capital Treatment of Clearing Agreement Penalty Clauses
In the Regulatory Short Takes section of the Spring 2000 Regulatory & Compliance Alert, Volume 14-1, NASD indicated that all or a portion of the amount specified in a clearing agreement as a termination fee would be treated as a charge to the introducing firm's net capital. The Question and Answer included in
Submission of PAIB Computation in FOCUS Filings
Beginning with the June 2002 FOCUS Report, members that hold assets of other member firms and compute a PAIB Reserve with respect to such assets will need to include the PAIB Reserve computation with their regular FOCUS filing. The PAIB Reserve computation will be included as page 9B in the Part II FOCUS filing.
The PAIB Reserve
Bank Notification Used In Conjunction With A Special Reserve Bank Account For The Exclusive Benefit Of Customers
In order to protect customer cash held at a clearing firm, SEC Rule 15c3-3 requires that customer cash and other customer credits be deposited into a Special Reserve Bank Account for the Exclusive Benefit of Customers (Reserve Account). This requirement serves as a safeguard for
Regulation Form Filing: New Firm Contacts Screen
Regulation Form Filing is a Web-based system for various applications used by member firms to report regulatory information to NASD Regulation. The applications include: FOCUS, Blue Sheets, Customer Complaints, Reg T/15c3-3 Extension Requests, and Short Interest Reporting.
Form Filing Account Administrators will be responsible for providing and
