FINRA Manual: Contents
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01-17 Web CRD E-Mail Notifications Regarding Regulatory Element Requirements And Notifications Of CE Inactive Registered Persons
CE Inactive Individuals
NASD Regulation, Inc. announces a new feature in the Firm Notification section of Web CRDSM. Firms can now request an automatic e-mail reminder from Web CRD whenever a registered representative at the firm has 90 days remaining in his or her 120-day Regulatory Element requirement window. Firms request this e-mail reminder by logging on to the Firm Notification section of Web CRD (see steps below) and selecting the 90-day CE notification option from the list of available e-mail notifications that Web CRD will send firms. Notification of persons with 90 days remaining in their Regulatory Element window provides firms with yet another tool to help them monitor their registered persons' compliance with Regulatory Element requirements. Firms are reminded to consult NASD Notice to Members 01-07 for a complete explanation of the CE Queues and other CE e-mail notifications available from Web CRD.
Firms are also reminded that the e-mail notifications that Web CRD sends to firms notifying them of registered persons who go inactive for failing to satisfy their Regulatory Element requirements within 120 days, do not get sent for new hires at the firm. To learn of new hires who are inactive, firms must view the queue Current Individual Deficiencies and select CE Inactive from the deficiencies list.
Questions concerning this Notice may be directed to Heather Bevans, Continuing Education, NASD Regulation, Inc., at (240) 386-4685, or Matthew Swyndle, Continuing Education, NASD Regulation, Inc., at (240) 386-4686.
Following are steps to request the e-mail notifications.
E-Mail Notifications of Registered Persons with 90 Days Remaining in their Regulatory Element Requirement Windows
Members can now request that the Web CRD system send an e-mail notification to the firm whenever a registered person has not satisfied his or her Regulatory Element requirement within the first 30 days of his or her 120-day requirement window.
To request this e-mail notification:
Web CRD E-Mail Notifications of CE Inactive Persons
The e-mail notifications of CE Inactive individuals do not include new hires. Web CRD categorizes CE Inactive new hires as "Deficient-CE". To view these individuals, firms must access their Registration Queues. To do this, click on the Registrations Queue, then Current Individual Deficiencies, and select CE Inactive from the deficiencies list. Always be sure to check the CE status and requirement windows for all new hires.