Tools

Checklists

 

Templates & Forms

 

Interactive Tools

 

Tutorials

  • REG T System Tutorial – this tutorial highlights the new and/or expanded data field requirements in the combined system that has integrated legacy NYSE Regulation and NASD extension of time processing systems.
  • New Form NMA and Application Process – the purpose of this tutorial is to introduce changes to the New Member Application Process.
  • Electronic Storage Media Tutorial – reviews how to file the electronic storage media notification and applicable representations through the Firm Gateway.
  • AREF Tutorial – this tutorial reviews how to submit filings for advertising or sales literature via the Advertising Regulation Electronic Filing System.