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For Your Information (April)

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Member Firms Now May Submit EDGAR Documents On Computer Disks To Meet The Information Requirements Of SEC Rule 15c2-11 And NASD Marketplace Rule 6740

Member firms may now demonstrate compliance with Securities and Exchange Commission (SEC) Rule 15c2-11 and National Association of Securities Dealers, Inc. (NASD®) Marketplace Rule 6740 by submitting one copy of EDGAR documents on computer disk, in lieu of two paper copies of the EDGAR documents. EDGAR documents should be provided on 3.5 inch computer disks and should be in .TXT format. When documents containing the required information are not available through EDGAR, the member firm must continue to provide two paper copies of the requisite documents.


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