NASD Notice to Members 04-74 - October 2004

Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2005; Payment Deadline: December 6, 2004

Executive Summary

The 2005 NASD Broker/Dealer and Investment Adviser Registration Renewal Program will begin on November 8, 2004, when online Preliminary Renewal Statements are made available to all firms on Web CRD/IARD. This annual program simplifies the registration renewal process for more than 26,000 Broker/Dealer (BD) and Investment Adviser (IA) firms and over 800,000 registered representatives and investment adviser representatives with the payment of one amount to NASD by the published deadline. On November 1, 2004, firms may start submitting post-dated Forms U5, BDW, Schedule E, and ADV-W via Web CRD/IARD. Post-dated filings that are submitted by 11 p.m., Eastern Time (ET), November 5, 2004, will not appear on the firm's Preliminary Renewal Statement.

 

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