NASD Notice to Members 00-72 - October 2000

Broker-Dealer and Agent Renewals for 2001

Executive Summary

The National Association of Securities Dealers, Inc. (NASD®) 2001 Broker/Dealer and Agent Registration Renewal Program begins November 6, 2000. This annual program simplifies the registration renewal process through the payment of one amount on the member firm’s Preliminary Renewal Statement that includes fees for NASD personnel assessments, NASD system processing fees, NASD branch offices, New York Stock Exchange (NYSE), American Stock Exchange (Amex®), Chicago Board Options Exchange (CBOE), Pacific Exchange (PCX), and Philadelphia Stock Exchange (PHLX) maintenance fees. The statement also includes state agent renewal fees and state broker/dealer renewal fees.


Members should read this Notice, any instructions posted to the NASD Web site (www.nasd.com), and any mailed information to ensure continued eligibility to do business in the states effective January 1, 2001. Any renewal processing changes subsequent to the publishing of this Notice to Members will be published in a Special Notice to Members.


Questions concerning this Notice may be directed to the CRD/PD Gateway Call Center at (301) 869-6699.