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.

Executive Summary

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.

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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 (PDF 26 KB) 8/5/2004
QA3 Financial Corp (PDF 27 KB) 8/9/2004
Seidel & Shaw (PDF 26 KB) 8/10/2004
Cantella & Co., Inc. (PDF 26 KB) 8/12/2004
Signal Securities, Inc. 8/27/2004
Sammons Securities Co. (PDF 48 KB) 8/31/2004
Dougherty & Company LLC (PDF 33 KB) 9/1/2004
State Farm VP Management Corp. (PDF 41 KB) 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. (PDF 32 KB) 9/3/2004
Associated Securities Corp. (PDF 32 KB) 9/3/2004
Jefferson Pilot Securities Corporation (PDF 34 KB) 9/3/2004
LPL Financial Services (PDF 1,891 KB) 9/3/2004
MML Investors Services, Inc. (PDF 33 KB) 9/3/2004
Northwestern Mutual Investment Services, LLC (PDF 26 KB) 9/3/2004
American Council of Life Insurers (PDF 595 KB) 9/3/2004
Carillon Ivestments, Inc. (PDF 63 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