NASD Notice to Members 07-01 - January 2007
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2007
The 2007 NASD Broker-Dealer and Investment Adviser Renewal Registration Program is in its final phase this month. NASD is issuing this Notice to help firms review, reconcile and respond to their Final Renewal Statements and reports that are currently available on Web CRD/IARD.
Questions regarding this Notice may be directed to the Gateway Call Center at (301) 869-6699.
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