The North American Securities Administrators Association (NASAA), an organization comprised of State Regulators, provides broker/dealers, investment advisors and investors with helpful information and is working toward uniformity in many state rules and regulations. The NASAA’s website provides links to the securities administrators for all 50 states the Canadian provinces for ease in researching recent changes or regulatory requirements: http://www.nasaa.org/industry___regulatory_resources/Directory_of_Securities_Laws___Regulations/

The NASD liaison program is designed to provide members with a dedicated point of contact at their District Office to assist them in working with the NASD or finding answers to their questions. These individuals are available during regular business hours to assist you. Contact your District Office for more information or to speak with your liaison. A list of District Office telephone numbers and addresses is available at: http://www.nasd.com/ContactUs/DistrictOffices/index.htm

The NASD offers a link on their website that members may use to search the OFAC list for customers or employees. This link is available at: http://apps.nasd.com/rulesregulation/ofac/nasd/Default.htm

The NASD has revamped is BrokerCheck system so that more information is now readily available to NASD members and the public. The information in this system is taken directly from data filed through CRD on Form BD and Form U4. Member firms and representatives should ensure that information in CRD is correct to avoid inaccurate information from being reported on this new system. You can access the new BrokerCheck system at: http://brokercheck.nasd.com/Support/TermsAndConditions.htm