NASD Notice to Members 06-59 - October 2006

Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2007; Payment Deadline: December 8, 2006

Executive Summary

The 2007 NASD Registration Renewal Program will begin on November 6, 2006, 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 27,000 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. Beginning this year, other regulators may also choose to renew branch registrations via Web CRD/IARD.

 

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