Designation For Receipt Of Web Crd Firm Email Notifications

Designation For Receipt Of Web Crd Firm Email Notifications - Finra

Designation for Receipt of Web CRD

Firm E-Mail Notifications

FINRA has implemented a mechanism in Web CRD that enables member firms to

elect to receive e-mail notifications whenever certain conditions occur. These

notifications are sent to a specific individual that the firm designates. FINRA

recognizes the importance of our member firms’ efforts to ensure compliance with

registration-related requirements; therefore, as a service to firms, FINRA, as part of

the New Member Application process, will set up the firm to receive five important

registration-related e-mail notifications to a firm-designated contact when any of the

following conditions occurs:

1. An individual who is registered with a broker-dealer firm has a registration

that becomes “Inactive Prints.”

2. An individual registered with the firm enters the firm’s Temporary Registration

Cancellation Queue.

3. A registered individual with a broker/dealer firm is within 30 days of the end of

his/her Continuing Education (CE) Required window.

4. A registered individual with a broker/dealer is within 90 days of the end of

his/her CE Required window.

5. A registered individual with a broker/dealer firm enters the Firm CE Inactive

Queue.

To avoid unnecessary delays in the approval of your membership application,

please provide the information requested on the attached Member Firm E-Mail

Notification Contact Form and return this form, along with the other forms in your

New Member Application Kit.

Once entitled to Web CRD, member firms can add any additional e-mail

notifications they wish to receive, and update contact persons and/or e-mail

addresses, or customize receipt of the e-mail notifications. Detailed instructions

regarding Firm Notifications and how to set up receipt of them via the NFI-

Organization functionality in Web CRD are located in the Firm Notification

Navigation Guide, which can be found on the FINRA Web site at

85.pdf

Designation For Receipt Of Web Crd Firm Email Notifications - Finra