Notice to Members 01-17

Web CRD Email Notifications Regarding Regulatory Element Requirements and Notifications of CE Inactive Registered Persons

NASD Regulation, Inc. announces a new feature in the Firm Notification section of Web CRDSM. Firms can now request an automatic email reminder from Web CRD whenever a registered representative at the firm has 90 days remaining in his or her 120-day Regulatory Element requirement window.

Questions concerning this Notice may be directed to Heather Bevans, Continuing Education, NASD Regulation, Inc. at (240) 386-4685, or Matthew Swyndle, Continuing Education, NASD Regulation, Inc., at (240) 386-4686.