Registration Code Classifications
Disclaimer for investor tools and calculators
Executive Summary
The Central Registration Depository (CRDSM) Redesign will require several action items from members. A Membership On Your Side will be mailed to the CRD contact in each member firm in the next couple of weeks that contains several items on which members must take action, CRD system pricing information, a list of service bureaus, and a Site Preparation Guide.
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Firms must register any person engaged in the securities business of the firm by filing the appropriate registration application online through the Central Registration Depository (CRD) Program to become registered with FINRA, the appropriate jurisdictions and/or self-regulatory organizations.CRD-Registered FirmsFirms registered with one or more CRD-participating regulators must
Executive Summary
Effective July 1, 1996, NASD Regulation, Inc. (NASD Regulation) will begin accepting appointments at the Certification and Training Center in London, England, at which registered representatives can complete the computer-based training required under the Regulatory Element of the securities industry Continuing Education Program (CEP). Also effective July 1, NASD Regulation
Tips for searching BrokerCheck.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to extend through June 30, 2006, the current pilot price-improvement standards for decimalized securities contained in NASD Interpretive Material 2110-2 - Trading Ahead of Customer Limit Order ("Manning Rule" or "Manning").
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") proposed NASD Rule 2342, which would require members to advise all new customers, in writing, at the opening of an account, and all customers at least once each year that they may obtain information about the Securities Investor Protection Corporation ("SIPC"), including the SIPC
