For Your Information

Decimalization And Qualification Exams

For Your Information

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

For Your Information

Financial Payments

For Your Information

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.)

For Your Information

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:

For Your Information

For Your Information

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.

Bank Notification Used In Conjunction With A Special Reserve Bank Account For The Exclusive Benefit Of Customers

In order to protect customer cash held at a clearing firm, SEC Rule 15c3-3 requires that customer cash and other customer credits be deposited into a Special Reserve Bank Account for the Exclusive Benefit of Customers (Reserve Account). This requirement serves as a safeguard for investors so that the clearing firm does not utilize these funds for its own use.