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
Important Information Regarding Annual Audited Report
Under Securities and Exchange Commission (SEC) Rule 17a-5, NASD members must file with NASD an Annual Audited Report not more than 60-calendar days after the date selected for their fiscal year end.
For the convenience of member firms, NASD has posted information to the Regulation section of the NASD Web Site listing essential information
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
NASD Reminds Firms of E-Mail Address Established to Report System Outages to Market Regulation Department
In the Winter 2000 Regulatory & Compliance Alert (2000 RCA), NASD provided the e-mail addresses specified below so that members could notify NASD's Market Regulation Department (the "staff") of system problems that impacted a member's ability to comply with
New Series 51 Examination
On September 30, 2002, the Municipal Securities Rulemaking Board (MSRB) filed a proposed rule change with the Securities and Exchange Commission for the MSRB's new Municipal Fund Securities Limited Principal Qualification Examination (Series 51), as well as an amendment to Rule G-3, on professional qualifications. Administration of the new Series 51 examination
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
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
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
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
2006—2007 Filing Due Dates
NASD would like to remind members of their obligation to file the appropriate FOCUS reports, Schedule I filings, Annual Audits, Customer Complaints and Short Interest reports by their due dates. The following schedule outlines due dates for 2006 reports that have 2007 due dates, and for 2007 reports. Questions regarding the information to be filed can be directed to
