View Whole SectionText only Print Print Manager Link
Previous Next

For Your Information (August)

View PDF File

Update to Web CRD Firm Notification Functionality

NASD, as part of its continuing efforts to assist member firms in fulfilling their compliance and registration-related requirements, is introducing an expanded e-mail notification service to all firms beginning August 22. The e-mail notifications, which are listed below, are intended to assist firms in identifying (1) material changes to a registered person's registration status and (2) critical dates relating to a registered person's CE requirements. NASD recognizes the significance of our member firms' efforts to ensure compliance with registration-related requirements; therefore, as an expanded service to all firms, beginning on August 22, NASD will automatically send the following five e-mail notifications to firmdesignated contacts as the conditions occur:

  • Notify when an individual's registration is Inactive Prints with the Firm-BD Only

  • Notify when a registered individual enters Firm Temporary Registration Cancellation Queue

  • Notify when a registered individual is within 30 days of the end of his or her CE Required window - BD Only

  • Notify when a registered individual is within 90 days of the end of his or her CE Required window - BD Only

  • Notify when a registered individual enters Firm CE Inactive Queue - BD Only

In order to ensure that these important e-mails are directed appropriately, NASD requests that all firms select and supply contact information for the five e-mail notifications. Detailed instructions on how to access the selection screens and supply new and/or updated e-mail address information for the receipt of Firm Notifications can be found at:

Key Dates:

Monday, July 22

  • 16 Firm Notifications available for firms to elect to receive. NASD is asking firms to select, at minimum, the 5 notifications listed in this article.

  • Firms may choose to have one individual at the firm receive all of the e-mails selected, or, as of this date, firms can input a different e-mail address for each Firm Notification it selects.

Wednesday, August 14

  • Deadline for member firms to select and input the appropriate e-mail address(es) for the five e-mail notifications listed.

Thursday, August 22

  • On behalf of firms that do not input contact information by this date, NASD will run a script to automatically select the five e-mail notifications listed in this article and designate the firm's Primary Account Administrator as the recipient for all.

  • If NASD does not have a Primary Account Administrator's e-mail address on file for a firm, the e-mail address of the firm's Executive Representative will be used, and he/she will then automatically receive those five e-mail notifications as the conditions occur.


If you have any questions regarding Firm Notifications, please contact the Gateway Call Center at 301-869-6699.

Previous Next