NASD Notice to Members 99-101 - December 1999

NASD Regulation to Launch Additional Form Filing Regulatory Applications

Executive Summary

NASD Regulation, Inc. (NASD RegulationSM) will deploy the following four additional Web-Based Form Filing Regulatory Applications to National Association of Securities Dealers, Inc. (NASD®) members during the first quarter of 2000.

  • Bluesheets (NASD Procedural Rules 8210, 8211, and 8213);
  • Customer Complaints (NASD Conduct Rule 3070);
  • Reg T/15c3-3 Extension Requests; and
  • Shorts Interest Reporting (NASD Conduct Rule 3360).

These regulatory applications will allow firms to use the same entitlement user account and password used to access Web-Based FOCUS—the first of the form filing applications launched a few months ago. Like Web-Based FOCUS, firms will no longer need to load software or file via Sprint Telenet or the Securities Industry Automation Corporation (SIAC), but instead can access all of the form filing applications with one Internet address: https://regulationformfiling.nasdr.com.

 

Firms must use these new Web-Based applications beginning first quarter of 2000. The old filing methods will no longer be available.

 

For further information or if you have questions about the new Web-Based form filing applications, call (800) 321-NASD, or send an e-mail.