Notice to Members 04-55

NASD Requests Comment on a Proposed Uniform Branch Office Registration Form

Comment Period Expired September 3, 2004

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.

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: 
DateCommenterFormat - Size
9/3/2004American Council of Life InsurersPDF - 594.06 KB
9/2/2004Association of Registration ManagementPDF - 116.24 KB
9/3/2004Carillon Ivestments, Inc.PDF - 62.4 KB
9/2/2004Charles Schwab & Co., Inc.PDF - 25.33 KB
9/3/2004LPL Financial ServicesPDF - 1.85 MB
9/3/2004MML Investors Services, Inc.PDF - 32.73 KB
9/3/2004Northwestern Mutual Investment Services, LLCPDF - 25.79 KB
9/9/2004Pamela S. FritzPDF - 22.47 KB
8/31/2004Sammons Securities Co.PDF - 47.66 KB
9/8/2004T. Rowe Price Investment Services, Inc.PDF - 68.26 KB
9/3/2004Associated Securities Corp.PDF - 31.5 KB
8/12/2004Cantella & Co., Inc.PDF - 25.43 KB
9/1/2004Dougherty & Company LLCPDF - 32.58 KB
9/3/2004Jefferson Pilot Securities CorporationPDF - 33.37 KB
8/9/2004QA3 Financial CorpPDF - 26.06 KB
9/3/2004Rhodes Securities, Inc.PDF - 31.06 KB
8/10/2004Seidel & ShawPDF - 25.63 KB
8/27/2004Signal Securities, Inc.PDF - 26.72 KB
9/1/2004State Farm VP Management Corp.PDF - 40.05 KB
8/5/2004UMB Scout Brokerage ServicesPDF - 25.33 KB