Designation For Receipt Of Web Crd Firm Email Notifications

Designation For Receipt Of Web Crd Firm Email Notifications - Finra Page 2

Member Firm E-Mail Notification Contact Form

Please complete and return this form with your New Member Application.

Contact Designation For Receipt Of Web CRD

E-Mail Notifications

FIRM NAME: _________________________________________________________

FIRM CRD #: __________________

(To be completed by FINRA)

Please designate one individual in your firm to receive the following five important registration-

related Web CRD e-mail notifications. Once entitled, you may customize the contact

person(s) and address(es), as appropriate for your firm, using Web CRD.

Notify the firm when

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.

Please select one of the following options:

[ ] Send firm e-mail notifications to the individual my firm has designated as its Primary Web

CRD Account Administrator listed on the FINRA Account Administrator Entitlement Form

(AAEF). The AAEF is the form that firms must complete in order to be granted access to Web

CRD, and is also included in the New Member Kit.

[ ] Send the firm e-mail notifications to the following individual:

E-MAIL ADDRESS: _______________________________________________

CONTACT NAME: ________________________________________________

CONTACT PHONE NUMBER: _____________________________________

Ver. 2 2/11/05

Designation For Receipt Of Web Crd Firm Email Notifications - Finra Page 2