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,
For Your Information
Financial Payments
On Monday, June 25, 2001, NASD Regulation implemented new addresses for all financial payments—including payments to CRD/IARD. The new P.O. Box will facilitate more timely automated processing of payments and is the primary address to which your firm sends all checks/payments via regular delivery. Please note that the P.O. Box for regular delivery
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
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:
If your payment was sent by a parent firm, on behalf of an affiliated firm, it may have been credited to the parent
Looking to break into the financial services industry? It is about to get easier. On October 1, 2018, FINRA will launch the Securities Industry Essential (SIE) exam, a new exam that will test concepts fundamental to the securities industry. And you don’t have to be associated with a financial firm to take it!
FINRA does not regulate mutual funds directly, but regulates the broker-dealers and registered representatives that sell mutual funds. In this capacity, FINRA enforces rules on mutual fund advertising, sales practices, including the sales loads that broker-dealers may charge, the incentives provided to registered representatives and the execution of mutual fund portfolio transactions.
For Your Information
National Association of Securities Dealers, Inc.
January 1989
Toll-Free Numbers for New York NASDAQ Operations Center Take Effect Soon
With the opening of business on January 9, 1989, the New York NASDAQ Operations Center may be reached via toll-free 800 service from all locations.
Effective January 9, 1989, the new numbers are:
For SOES operations information (e.g.,
For Your Information
National Association of Securities Dealers, Inc.
February 1989
Series 7 Test Date and Site Changes in February
February Series 7 Date Change
Because of the national holiday that falls on the third weekend, the February Series 7 exam session will be conducted February 11, 1989, at all locations except:
Atlanta, GA
Minneapolis, MN
Little Rock, AR
San Francisco, CA
For Your Information
National Association of Securities Dealers, Inc.
March 1989
Series 7 Test Changes For March; Permanent Site Change in Anchorage
Memphis Test Site for March
The March 18, 1989, Series 7 exam in Memphis will be held at:
Sheraton Hotel300 N. 2nd StreetMemphis, TN
Atlanta Test Site for March
The March 18, 1989, Series 7 exam in Atlanta will be held at:
Georgia
For Your Information
National Association of Securities Dealers, Inc.
April 1989
NASD Releases Interpretive Summaries Under SEC Rule 19c-4
The NASD recently made available summaries of interpretive letters issued under Securities and Exchange Commission Rule 19c-4. That rule prohibits the major securities markets from listing companies that issue securities or take other corporate actions
