RCA - Spring 2003 - Advertising Regulation Electronic Filing
Member firms can now send PDF files of advertisements and sales literature directly to the Advertising Regulation Department for review via the Web. This reflects a major enhancement to the Advertising Regulation Electronic Files (AREF) system, which was introduced in mid-2002. Previously, AREF provided members with electronic access to NASD comment letters on their filings. The system was upgraded in late 2002 to permit registered users at members firms to upload new communications for review by NASD staff.
The enhanced system enables firms to track filings as they move through the review process. In response to requests for Expedited review, the system sends Review Status Confirmation letters confirming whether the review has been accepted on an Expedited basis.
AREF is one of several Web-based applications provided to NASD member firms as part of the Regulation Form Filings System. Other applications include FOCUS, Blue Sheets, and Customer Complaints. To use AREF an individual must have a user name and password as well as appropriate entitlements from his or her member firm. Individuals should contact the Regulation Form Filing Account Administrator at their firms to obtain these permissions. If an individual does not know who the Regulation Form Filing Account Administrator is at a given firm, he or she should call Gateway Business Applications Support at (800) 321-NASD to request this information and details about account administration and entitlements.
Detailed instructions on how to submit material via AREF appear in the Navigation Guide for the system.
AREF System Highlights
The enhanced AREF system permits users to:
To view AREF, visit the AREF Web Site. If you have questions about the enhanced system, call the Advertising Regulation Department staff at (240) 386-4500.