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For Your Information (June)

For Your Information

International Testing Delivery

NASD Regulation is now offering delivery of computerized testing and Continuing Education Session 2-101 (the General Securities Representative Program) in Europe and the Pacific Rim.

Computerized delivery is offered in the following countries:

Sydney, Australia

Hong Kong, China

Paris, France

Frankfurt, Germany

Tokyo, Japan

Seoul, South Korea

London, United Kingdom

For information about location addresses, appointment scheduling, and foreign testing policies/procedures, visit the NASD Regulation Web Site at

Important Information About Advertising Filing Fees

Members now have several payment options with respect to the Advertising Regulation filing fees charged in accordance with Section 13, Schedule A of the NASD By-Laws. Firms can use any of these options to establish an Advertising Filing Fee Account:

A. CRD Account Payment Transfer

Member firms may have NASD Regulation deduct filing fees from the firm's existing CRD account by providing NASD Regulation with written authorization. Please mail your written authorization to the address noted on the next page or fax it to Suprina Hicks at (240) 386-4568.
B. Credit Card Payment

NASD Regulation accepts credit cards for payment of the firm's filing fees (Visa, MasterCard, or American Express). To request a credit card form, please contact Suprina Hicks at (240) 386-4537.
C. Check Payment

Effective June 15, 2001, the NASD Regulation, Inc. Advertising Regulation Department will be changing the address for check remittances. All checks must be sent to the new P.O. Box address provided on the next page. Please use the P.O. Box address except in cases when you must use courier or overnight delivery. Please note the alternative address provided for these situations, as the P.O. Box address will not accept courier or overnight deliveries. We encourage the use of the P.O. Box address as it facilitates more timely automated processing of the firm's remittance.

Please send filing fee checks to:

NASD Regulation, Inc.
Advertising Regulation
P.O. Box 7777-W9075
Philadelphia, PA 19175-9075

(Note: P.O. Box does not accept overnight/courier deliveries)

For courier/overnight checks only:

NASD Regulation, Inc.
Advertising Regulation
c/o Mellon Bank, Room 3490
701 Market Street
Philadelphia, PA 19106

Please continue to submit all correspondence, sales literature, and advertisements for review to:

NASD Regulation, Inc.
Advertising Regulation
9509 Key West Avenue, 5th Floor
Rockville, MD 20850-3389

Regardless of the method of payment, we will continue to provide monthly Filing Fee Statements.

Questions may be directed to the Advertising Regulation Department at (240) 386-4500.

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