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NASD Notice To Members 99-26: 211 Applications Older than 180 Days Terminated

The purpose of this Notice to Members is to advise member firms that Form 211 applications, submitted by member firms to demonstrate compliance with Securities and Exchange Commission (SEC) Rule 15c2-11 and National Association of Securities Dealers, Inc. (NASD or Association) Rule 6740, will be treated as abandoned and the Association will close its files on the matter if a submitting member firm has not responded to a deficiency letter sent to it by the Market Regulation Department staff within 180 calendar days of the date of the deficiency letters.

Six months is the longest period of time that an application can remain current without being supplemented with more timely documents. See SEC Rule 15c2-11(g).

Questions concerning this Notice may be directed to Ken Worm, Assistant Director, Market Regulation Department, NASD Regulation, Inc. (NASD RegulationSM) at (301) 208-2862.

Click below to view the Notice To Members:

 

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