NASD Notice to Members 96-71 - October 1996

Broker-Dealer and Agent Renewals for 1997

Executive Summary

The 1996-97 NASD broker-dealer and agent registration renewal cycle begins in early November. This program simplifies the registration renewal process through the payment of one invoiced amount that will include fees for NASD® personnel assessments, NASD branch-office fees, and American Stock Exchange (ASE), Chicago Board Options Exchange (CBOE), New York Stock Exchange (NYSE), Pacific Stock Exchange (PSE), and Philadelphia Stock Exchange (PHLX) maintenance fees. The invoice also includes state agent renewal fees and state broker-dealer renewal fees.

 

Members should read this Notice and the instruction materials that will be sent with the November invoice package to ensure continued eligibility to do business in their respective states effective January 1, 1997.

 

Questions concerning this Notice may be directed to the firm's assigned Quality & Service Team: 

 

Quality & Service Team 1
(301) 921-9499

 

Quality & Service Team 2
(301) 921-9444

 

Quality & Service Team 3
(301) 921-9445

 

Quality & Service Team 4
(301) 921-6664

 

Quality & Service Team 5
(301) 921-6665