SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests membership comment on a proposed Corporate Financing Rule that, if
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
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2012
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
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>
INFORMATIONAL
Predispute Arbitration Agreements
Effective Date: June 11, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Arbitration
Code of Arbitration Procedure
Executive Summary
On April 6, 2001, the Securities and Exchange Commission (SEC or Commission) approved an amendment to National Association of
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration Department
Senior Management
Continuing Education Regulatory Element Notifications And Reports
Inactive
ACTION REQUIRED
Broker/Dealer And Agent Renewals
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Registration
Renewals
Web CRD
Executive Summary
The 2001 Renewal Program for the National Association of Securities Dealers, Inc. (NASD®) broker/dealer and agent
Current FINRA members seeking to change ownership, control, or business operations must submit a continuing member application, or Form CMA. Form BD amendments may be required for some of these Form CMA-triggering events.On This PageWhen to File a CMAWhat to include in a CMARemoval or Modification of a Restriction on a Membership AgreementAfter Filing a CMAWhen to File a CMAWhen current FINRA
