Now
Contents
1. March Version 6 0 9 4 Copyright 2004 NASD All rights reserved Broker Dealer Firm User s Manual Chapter Nine Organization Non Filing Information Adding a Contact 4 Type the Contact Name Contact Phone Number and Email Address in the fields Person to receive firm notification e 5 Click the box es to specify notification type NOTE At a minimum the following five notifications should be selected mails and e Notification when an individual s registration becomes Inactive Prints with the Firm Choosing Firm e Notification when a registered individual enters the Firm Temporary Registration Notification Cancellation Queue Types e Notification when a registered individual is within 30 days of the end of his or her CE Continued Required window e Notification when a registered individual is within 90 days of the end of his or her CE Required window e Notification when a registered individual enters the Firm CE Inactive Queue Firms may choose one individual at the firm to receive all of the e mails selected or a firm can input a different e mail contact for each Firm Notification it selects 6 Click the Save button Copyright 2004 NASD All rights reserved 9 5 March Version 6 0 Chapter Nine Organization Non Filing Information Broker Dealer Firm User s Manual Steps to Change Delete a Firm Notification Contact Person and or Firm Notification Types Access Firm2. 1 To access Firm Notification see steps 1 or 1a on page 9 3 of Steps for Maintaining CRD Notification Contact Person Information Change Delete 2 Click Firm Notification from the Navigation Bar or Footer Contact Information Result The Maintain Firm Notification Info screen opens and or Notification Maintain Firm Notification Info Types Organization CRD 120504 Organization Name TRAINING FIRM B Organization SEC 8 Applicant Name TRAINING FIRM B Phone Number Email Address Notification Type s 301 222 1111 C JANE DOE FIRM COM Approaching CE 30 Approaching CE 90 CE Inactive Inactive Prints Temporary Registration Withdrawn 301 222 1111 Individual Terminated without a US Registration Denied Registration Revoked JOHN SMITH FIRM COM Add New 3 Click the Email Address hyperlink Result The Maintain Firm Notification Request screen opens JANE DOE 301 222 1 111 Email Address JaneDoe firm com Notification Types Registration Notify when an individual has a fingerprint updated with a status of ILEG Notify when an individual s registration is Inactive Prints with the Firm BD Only Notify when an individual s registration request is T NOUS Notify when an individual with deficient registration is Eligible to Purge within the next 30 days Notify when Individual Fingerprint updated with RAPP status Notify when an individual s registration
3. an individual has a fingerprint updated with a status of ILEG Notify when an individual s registration is Inactive Prints with the Firm BD Only Notify when an individual s registration request is T NOUS Notify when an individual with deficient registration is Eligible to Purge within the next 30 days Notify when Individual Fingerprint updated with RAPP status Notify when an individual s registration request has been Denied Notify when an individual s registration has been Revoked Notify when a registered individual enters Firm Temporary Registration Cancellation Queue Disclosure I Notify when a Bankruptcy has expired for a registered individual with the firm I Notify when a Customer Complaint has expired for a registered individual with the firm I Notify when a U6 is filed against a registered firm I Notify when a U6 is filed against an individual registered with the firm I Notify when a registered individual enters Firm Outstanding Disclosure Letters Notice Queue CE 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 Other I Notify when Firm account balance is Deficient I Notify when a filing has failed submission I Notify when a registered individual enters Other Firm U4 Filing Notice Queue Savel Reset
4. individual registered with the firm e Notify when registered individual enters Firm Outstanding Disclosure Letters Notice Queue Continuing Education e Notify when registered individual is within 30 days of then end of his or her CE Required window e Notify when registered individual is within 90 days of the end of his or her CE Required window e Notify when registered individual enters the Firm CE Inactive Queue e Notify when Firm account balance is Deficient e Notify when a filing has failed submission e Notify when registered individual enters Other U4 Filing Notice Queue NASD recognizes the significance of our member firms efforts to ensure compliance with registration related requirements therefore as an expanded service to all firms on September 30 2002 NASD began automatically sending the five bolded e mail notifications above to firm contacts NASD is asking firms to select a contact s for receipt of at a minimum the five bolded e mail notifications Firms may choose one individual at the firm to receive all of the e mails selected or a firm can input a different e mail contact for each Firm Notification it selects On behalf of firms that did not input contact information by September 30 2002 NASD ran a script to automatically select the five bolded e mail notifications and designate the firm s Primary Account Administrator as the recipient for all For those firms that did not have a Primary Account Administrator
5. request has been Denied Notify when an individual s registration has been Revoked Notify when a registered individual enters Firm Temporary Registration Cancellation Queue Disclosure Notify when a Bankruptcy has expired for a registered individual with the firm Notify when a Customer Complaint has expired for a registered individual with the firm I Notify when a U6 is filed against a registered firm I Notify when a U6 is filed against an individual registered with the firm NM Notify when a registered individual enters Firm Outstanding Disclosure Letters Notice Queue CE M Notify when a registered individual is within 30 days of the end of his or her CE Required window BD Only W Notify when a registered individual is within 90 days of the end of his or her CE Required window BD Only M Notify when a registered individual enters Firm CE Inactive Queue BD Only Other I Notify when Firm account balance is Deficient I Notify when a filing has failed submission M Notify when a registered individual enters Other Firm U4 Filing Notice Queue ko m m ie m m Save Reset Delete March Version 6 0 9 6 Copyright 2004 NASD All rights reserved Broker Dealer Firm User s Manual Chapter Nine Organization Non Filing Information To Change Delete Contact Information and or Notification Types Continued 4 To change the Contact Name Contact Phone and or Email Address highlight the e
6. s e mail address on file the e mail address of March Version 6 0 9 2 Copyright 2004 NASD All rights reserved Broker Dealer Firm User s Manual Chapter Nine Organization Non Filing Information the firm s Executive Representative was used and he she will automatically receive those five e mail notifications as the conditions occur Steps for Maintaining CRD Contact Person Information Access CRD There are two ways to access Non Filing Information Contact Information 1 From the Site Map click the NFI Organization Search hyperlink Web CRD Central Registration Depository Forms Individual Organization Accounting Reports LOG OFF J Web IARD User Info Admin Tools CRDMain Forms Individual Organization Accounting Reports User Info U4 Form View Individual View Org Daily Account Home Blank Forms Create New U4 Filing Individual Search Organization Search Processed Glossary Transactions Broadcast Messages Initial Disclosure Only Request Report Individual Search Organization Queues Funds Deficient Terms and Amendment Transadions View Report Conditions E Current Deficiencies 73 Concurrence Non Filing Info Account Activity FAQ _ SFG Retirement Summary pagaz NFI Individual Release Notes Amendment for Search Withdrawalior Deposit Detail Schedule A B Termination F Recommended IARD Transition Transfer Detail Hardware Software Page 2 Initial for Registration Search Queue Totals Sched
7. Broker Dealer Firm User s Manual Chapter Nine Organization Non Filing Information Chapter Nine Organization Non Filing Information About this This section contains information pertaining to maintaining firm Section notifications contact information viewing mass transfers and organization names using Organization Non Filing Information on CRD Completion At the completion of this section the user will be able to Objectives e Maintain CRD contact information e Maintain firm notification information e View organization names list and mass transfers In this This section contains the following topics Section Topic See Page About Organization Non Filing Information 9 2 Firm Notification 9 2 Steps for Maintaining CRD Contact Person Information 9 3 Steps for Adding a Firm Notification Contact Person and 9 4 Choosing Firm Notification Types Steps to Change Delete a Firm Notification Contact Person 9 6 and or Firm Notification Types Steps for Viewing Mass Transfer History 9 8 Steps for Viewing Organization Names List 9 9 Tips for Organization Non Filing Information 9 10 Copyright 2004 NASD All rights reserved 9 1 March Version 6 0 Chapter Nine Organization Non Filing Information Broker Dealer Firm User s Manual About Organization Non Filing Information Organization Non Filing Information gives firms the ability to view and update information without submitting a form fili
8. Types Access Firm Notification 1 To access Firm Notification see steps 1 or 1a on page 9 3 of Steps for Maintaining CRD Contact Person Information Adding a Contact Person to receive firm notification e mails and Choosing Firm Notification Types 2 Click Firm Notification from the Navigation Bar or Footer Result The Maintain Firm Notification Info screen opens Maintain Firm Notification Info Organization CRD 120504 lorganization Name TRAINING FIRM B Organization SEC 8 Applicant Name TRAINING FIRM B Contact Name Phone Number Email Address Notification Type s Disabled 301 222 1111 JANE DOE FIRM COM Approaching CE 30 Approaching CE 90 CE Inactive Inactive Prints Temporary Registration Withdrawn 301 222 1111 JOHN SMITH FIRM COM Individual Terminated without a US Registration Denied Registration Revoked NOTE If there are existing contacts their names are displayed indicating the phone number email address and specific notification type s that the contact receives Different individuals can be contacts to receive different firm notifications 3 To add anew contact person to receive firm notification emails and designate which firm notification type s the contact will receive click the Add New button Result The Maintain Firm Notification Request screen opens Contact Name Email Address Notification Types atte Notify when
9. contacted or if a valid e mail address cannot be obtained NASD will disable the Firm Notification for that specific e mail address The firm will need to contact the Registration and Disclosure Department to re enable the Firm Notification March Version 6 0 9 10 Copyright 2004 NASD All rights reserved
10. n Non Filing Information Access 1 To access Organization Names see steps 1 or 1a on page 9 3 of Steps for Maintaining Organization CRD Contact Person Information Names View 2 Click Organization Names from the Navigation Bar or Footer Organization Names List Result The Organization Names List screen opens Organization Names List Organization CRD 111 Organization Name TRAINING FIRM Organization SEC 8 xxxxx Applicant Name TRAINING FIRM Name Name Usage Effective Date Corrections TRAINING FIRM Applicant Name 09 09 1975 N TRAINING FIRM Primary Business Name 09 09 1975 N Copyright 2004 NASD All rights reserved 9 9 March Version 6 0 Chapter Nine Organization Non Filing Information Broker Dealer Firm User s Manual Tips for Organization Non Filing Information e Be sure to keep the contact information current e Be sure to change the e mail address under Firm Notifications when the person that handles that e mail goes on vacation or leaves the firm or the individual who receives the e mail notifications can request that the firm s technical support staff temporarily forward his her e mail to another individual s mailbox e One notification is sent out per notification type and not for each individual affected by the notification e NASD will contact a firm if there is a non deliverable e mail address listed on the Firm Notification Information screen If the firm cannot be
11. ng Firms can maintain contact information that is not a part of the Form BD filing process and is used by the Registration and Disclosure Department for CRD issues Firms can view organization name changes and whether the changes were due to corrections Firms can view mass transfer information relating to their firm type of transfer and effective date Firm Notification Firms can request automatic e mail reminders be sent from CRD to designated individuals at the firm whenever any or all of the following 19 conditions occur Registration e Notify when an individual has a fingerprint updated with a status of ILEG e Notify when an individual s registration is Inactive Prints with the firm e Notify when an individual s registration request is T_NOU5 terminated without a Form U5 e Notify when an individual with deficient registration is eligible to Purge within the next 30 days e Notify when Individual Fingerprint updated with RAPP status e Notify when an individual s registration request has been Denied e Notify when an individual s registration has been Revoked e Notify when a registered individual enters Firm Temporary Registration Cancellation Queue Disclosure e Notify when a Bankruptcy has expired for a registered individual with the firm e Notify when a Customer Complaint has expired for a registered individual with the firm e Notify when a U6 is filed against a registered firm e Notify when a U6 is filed against an
12. ule A B Transaction Detail Dual Bill Line Search Firm Queues Non Filing Info Admin Tools Relicense All wm E Continuing NFI Organization Renewal Account Changa Pessvord Relicense CRD Education Search A APOS hineice Renewal Statement Send Comments Requirement Mass Transfer q Account Activity Pending U4 Filings Summary CE 2 Year Termed Mass Transfers List OR 1a Click the Organization Tab from the Tool Bar and choose Non Filing Info from the Sub menu LAL OON CRD Main Forms Individual Xccounting Reports TT iew Org Organization Queues Mass Transfer Maintain CRD Result CRD defaults to the Maintain CRD Contact Info screen Contact Maintain CRD Contact Info Information Organization CRD 111 Organization Name TRAIN Organizat ion SEC 9 KXXX Applicant Name TRAIN Contact Name IZZIE ONLINE Contact E Mail IZZIE FIRM COM 301 333 3333 Bor 333 4444 H44MAIN STREET ROCKVILLE MARYLAND z UNITED STATES OF AMERICA ZIP Postal Code 22222 Seve _Reset 2 Type CRD Contact Name Contact E mail Phone Fax Street 1 Street 2 if applicable City State Country and Zip Postal Code in the fields 3 Click the Save button Copyright 2004 NASD All rights reserved 9 3 March Version 6 0 Chapter Nine Organization Non Filing Information Broker Dealer Firm User s Manual Steps for Adding a Firm Notification Contact Person and Choosing Firm Notification
13. xisting information in the fields and type the new Contact Name Contact Phone and or Email Address 5 Toremove specific firm notification s for this contact person click the box es to remove the check mark s from the notification types OR 5a To add additional notification s for this contact person click the box es to specify notification type OR 5b To delete a contact person and all of his her firm notification types click the Delete button 6 Click the Save button Copyright 2004 NASD All rights reserved 9 7 March Version 6 0 Chapter Nine Organization Non Filing Information Broker Dealer Firm User s Manual Steps for Viewing Mass Transfer History Access Mass 1 To access Mass Transfer information see steps 1 or 1a on page 9 3 of Steps for Transfer Maintaining CRD Contact Person Information Information View Mass 2 Click Mass Transfer History from the Navigation Bar or Footer Transfer History Result The View Mass Transfer History screen opens View Mass Transfer History lorganization CRD Organization SEC Organization Name lApplicant Name Predecessor Successor Type Effective Date Name Name TRAINING FIRM A TRAINING FIRM B PARTIAL MERGER 11 01 1996 March Version 6 0 Copyright 2004 NASD All rights reserved Broker Dealer Firm User s Manual Steps for Viewing Organization Names List Chapter Nine Organizatio
Download Pdf Manuals
Related Search