NASD Notice to Members 97-31 - May 1997

NASD Reminds Registered Persons of Continuing Obligation to Update NASD Records

Executive Summary

Every person registered with a member of the NASD must notify the NASD of his or her current mailing address. This obligation exists while a registrant is associated with any NASD member firm, and continues for as long as the NASD retains jurisdiction to bring a disciplinary action against the registrant, which may be up to four years after the registrant's association ends. If you are currently registered, you must notify the NASD of an address change by filing a new Uniform Application for Securities Industry Registration or Transfer (Form U-4). Registrants who are no longer affiliated with an NASD member should notify the NASD's Membership Services Department of any address changes.