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98-53 Members Reminded To Report Executive Representative And Address Changes

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SUGGESTED ROUTING

Senior Management
Legal & Compliance
Registration


Executive Summary

The Office of the Corporate Secretary would like to remind members of the importance of keeping the names of Executive Representatives, as well as mailing addresses for branch offices, up-to-date. Making certain that the Central Registration Depository (CRDSM) is updated with changes in address and contact people, ensures that regular Notices and special mailings will be directed properly.

The National Association of Securities Dealers, Inc. (NASD®) By-Laws require each member to appoint and certify to the NASD one "executive representative." The Executive Representative of your firm must be a registered principal and a senior manager within the firm. The individual designated as the Executive Representative will represent, vote, and act in all NASD affairs.

To change the Executive Representative of your firm, you must submit written notification to the NASD Corporate Secretary. The form to use for this purpose is included with this Notice. You may submit the original or a photocopy to:

Joan Conley, Corporate Secretary
Executive Representative Program
c/o CRD/PD Department
National Association of
Securities Dealers, Inc.
1390 Piccard Drive
Rockville, MD 20850
or fax to (202) 728-8075.

To change the address for mailings sent to both main offices and branch offices, or to update the contact name, a properly executed Schedule E of Form BD must be sent to CRD. Notifications submitted on U.S. Post Office address change cards cannot be processed.


EXECUTIVE REPRESENTATIVE FORM

Date:
NASD Member Firm:
Firm CRD #:
 
The NASD Member Firm referenced above designates (name)______________________________, CRD #_________________________________, as Executive Representative to the NASD as of (date)_____________________. This person is a member of the firm's senior management and is a registered principal with the firm.
 
Name of person preparing this form:
Telephone number:

Return this form to:

Joan Conley, Corporate Secretary
Executive Representative Program
c/o CRD/PD Department
National Association of Securities Dealers, Inc.
1390 Piccard Drive
Rockville, MD 20850
or fax to (202) 728-8075


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