For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
Final Renewal Statements
Member firms' Final Renewal Statements became available in Web CRD on January 2, 2001. All payments or requests for refunds must be received by March 16, 2001. Final Renewal Statements can be retrieved under the "Renewals" menu item in Accounting. Also, all Final Renewal Rosters are available in Web CRD for viewing and printing in the firm's ReportMart.
Decimalization And Qualification Exams
International Testing Delivery
NASD Regulation is now offering delivery of computerized testing and Continuing Education Session 2-101 (the General Securities Representative Program) in Europe and the Pacific Rim.
Computerized delivery is offered in the following countries:
Sydney, Australia
Hong Kong, China
Paris, France
Frankfurt, Germany
Tokyo, Japan
Seoul, South Korea
Financial Payments
Annual Audit Filings
Annual audits submitted to NASD Regulation should be sent to the following address:
NASD Regulation, Inc.
Member Regulation Programs/Systems Support
Attn: Sherry Lawrence
9509 Key West Avenue, 3rd Floor
Rockville, MD 20850
(Please note that the previous Rockville, MD addresses do not have mail facilities. Sending reports to those addresses will result in late reports.)
Check/Wire Payments Reflected In CRD Accounts
The National Association of Securities Dealers, Inc. (NASD®) Finance Department has identified the following possible reasons a check or wire payment may not be reflected in a member firm's CRD® account:
Filing Due Dates For Web-Based FOCUS, Annual Audits, Customer Complaint Information, And Short Interest Reporting
NASD 2002 Renewals Program
Regulation Form Filing: New Firm Contacts Screen
Regulation Form Filing is a Web-based system for various applications used by member firms to report regulatory information to NASD Regulation. The applications include: FOCUS, Blue Sheets, Customer Complaints, Reg T/15c3-3 Extension Requests, and Short Interest Reporting.
Form Filing Account Administrators will be responsible for providing and maintaining the new Firm Contacts fields with the most current and accurate information.