INFORMATIONAL
Broker-Dealer, Investment Adviser and Individual (AG/RA) Renewals 2005
SUGGESTED ROUTING
KEY TOPICS
Executive RepresentativesLegal & ComplianceOperationsRegistered RepresentativeRegistrationSenior Management
RegistrationRenewalsWeb CRD®IARDSMMaintenance Fees
Executive Summary
The 2005 NASD Broker-Dealer and Investment Adviser Registration
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2012
A firm is under a continuing obligation to update changes to information about the firm. Broker-dealer firms must file a Form BD amendment and/or a Continuing Membership Application (Form CMA) depending on the type of registration information that requires updating.On This PageWhen to File a CMAWhat to include in a CMARemoval or Modification of a Restriction on a Membership AgreementAfter Filing
Capital Acquisition Brokers (CABs) are firms that engage in a limited range of activities, which can include advising companies and private equity funds on capital raising and corporate restructuring and acting as placement agents for the sale of unregistered securities to institutional investors under limited conditions. CABs are not permitted, among other things, to carry or maintain customer
ACTION REQUIRED
Broker/Dealer, Investment Adviser, and Individual (AG/RA) Renewals
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives Legal & Compliance Operations Registered Representative Registration Senior Management
Registration Renewals Web CRD Web IARD Maintenance Fees
Executive Summary
The 2003 NASD Broker/Dealer and Investment Adviser Registration
<p>Application of NASD Rules to Member Firms using Pink Sheets Linkage.</p>
The Registered Representative Composition Report is produced on a quarterly basis and displays trends in the profile of registered representatives associated with the firm. The report allows firms to compare their statistics to those of the industry. The data in this report comes from Web CRD®.
This report is generally published approximately 5 weeks after the last business day of the quarter.
There are nine categories of reports currently available on the Report Center:
Corporate Financing
Cross-Market Supervision
Disclosure
Equity
MSRB
Online Learning
Options
Risk Monitoring
TRACE
Unread Reports
The Unread Reports section contains a list of the most recent reports available to you that you have not yet viewed. The list of reports (displays only the most recent version
