FINRA Manual: Contents
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For Your Information (July)
For Your Information
National Association of Securities Dealers, Inc.
Nebraska Begins Participation in CRD Phase II Program
Effective July 1, 1989, the State of Nebraska began participation in CRD Phase II, receipt and review of broker-dealer filings. Nebraska will continue to collect the initial Form BD as well as the fee associated with a request for BD registration in the state. Questions regarding Nebraska's filing requirements should be directed to the State Securities Commission at (402) 471-3445.
Series 7 Test Site Changed Temporarily in Atlanta, Permanently in Phoenix and Portland Series 7 Test Site — Atlanta
The July 15, 1989, and August 19, 1989, Series 7 exam in Atlanta will be held at:
Sheraton Century Hotel
2000 Century Boulevard
Permanent Site Changes
The Series 7 test site in Phoenix has been permanently relocated to:
Public Service Building
11th Ave. & Flower
The Portland Series 7 test site is now located at:
University of Portland
5000 North Willamette Blvd.
Engineering Building, Room 216
Nevada Imposes Agent Transfer Fee; North Dakota Boosts Fees
Effective June 1, 1989, the Nevada Securities Commission imposed an agent transfer fee in the amount of $50.
Effective July 1, 1989, the North Dakota Securities Commission increased all agent and broker-dealer fees. As of that date, the fees for initial registration, transfer, and renewal of agents became $35. The fees for broker-dealer registration and renewal rose to $175.
If you have any questions regarding these changes, please contact NASD Information Services at (301) 590-6500.