Filing Due Dates For Web-Based FOCUS, Annual Audits, Customer Complaint Information, And Short Interest Reporting

For Your Information

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.

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