NASD Notice to Members 04-55 - August 2004
NASD Requests Comment on a Proposed Uniform Branch Office Registration Form; Comment Period Expires September 3, 2004.
NASD requests comment on a proposed uniform branch office registration form (Form BR) that will enable firms to register branch offices electronically with NASD, the New York Stock Exchange, Inc. (NYSE), and states through the Central Registration Depository (CRD® or CRD system). As proposed, the Form BR is intended to replace Schedule E of the Form BD, the current NYSE Branch Office Application form, and certain state branch office forms. Enhancements to the CRD system that are scheduled to be deployed with the proposed Form BR also will enable firms to identify the branch offices to which their registered representatives are assigned. NASD notes that the NYSE is soliciting comments from its members on Form BR and the North American Securities Administrators Association (NASAA) also is separately soliciting comment on the proposed form (please visit www.nyse.com and www.nasaa.org for more detailed information on the NYSE and NASAA communications).
Questions concerning this Notice may be directed to Chip Jones, Vice President/State Liaison, at (240) 386-4797; Richard E. Pullano, Associate Vice President/Chief Counsel, Registration and Disclosure, at (240) 386-4821; or Stefanie M. Watkins, Staff Attorney, Registration and Disclosure, at (240) 386-4824.
|View Full Notice||PDF 269 KB|
The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments.
|Comments By||Date Received|
|UMB Scout Brokerage Services||8/5/2004|
|QA3 Financial Corp||8/9/2004|
|Seidel & Shaw||8/10/2004|
|Cantella & Co., Inc.||8/12/2004|
|Signal Securities, Inc.||8/27/2004|
|Sammons Securities Co. (PDF 48 KB)||8/31/2004|
|State Farm VP Management Corp.||9/1/2004|
|Dougherty & Company LLC||9/1/2004|
|Association of Registration Management (PDF 117 KB)||9/2/2004|
|Charles Schwab & Co., Inc. (PDF 26 KB)||9/2/2004|
|Rhodes Securities, Inc.||9/3/2004|
|Jefferson Pilot Securities Corporation||9/3/2004|
|LPL Financial Services (PDF 1,891 KB)||9/3/2004|
|American Council of Life Insurers (PDF 595 KB)||9/3/2004|
|Carillon Ivestments, Inc. (PDF 63 KB)||9/3/2004|
|Northwestern Mutual Investment Services, LLC (PDF 26 KB)||9/3/2004|
|Associated Securities Corp.||9/3/2004|
|MML Investors Services, Inc. (PDF 33 KB)||9/3/2004|
|T. Rowe Price Investment Services, Inc. (PDF 69 KB)||9/8/2004|
|Pamela S. Fritz (PDF 23 KB)||9/9/2004|