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For Your Information - August 2002

Update to Web CRD Firm Notification Functionality

For Your Information - October 2002

Important Information Regarding Annual Audited Report

Under Securities and Exchange Commission (SEC) Rule 17a-5, NASD members must file with NASD an Annual Audited Report not more than 60-calendar days after the date selected for their fiscal year end.

For Your Information - October 2002

Reminder to NASD Members - Transactions with NASD and American Stock Exchange Employees

For Your Information - December 2000

NASD Reminds Firms of E-Mail Address Established to Report System Outages to Market Regulation Department

For Your Information - March 2003

New Series 51 Examination

For Your Information - March 2003

This article is intended to clarify a factual reference to SEC Rule 17a-4 (f)(2)(i) previously reported in the Fall 2000, Volume 14.3, of the NASD Regulatory & Compliance Alert.

SEC Rule 17a-4 (f)(2)(i)

Q: If a broker/dealer intends to store records using electronic storage media, can a third party vendor provide services to a broker/dealer if the third-party vendor is an affiliated company?

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