|
发表于 2006-11-23 12:18:58
|
显示全部楼层
Central Registration Depository 【CRD】中央登记保管机制
Under NASD rules, after a securities firm hires a broker, it must ensure that information on the broker's application for registration (Form U4) is kept current in NASD's Central Registration Depository (CRD). The firm must update that information whenever significant events occur -- including regulatory actions against the broker, customer complaints, settlements involving the broker and criminal charges and convictions. Normally, those updates must be filed within 30 days. If the reportable event involves a statutory disqualification (usually the result of a criminal conviction), the event must be disclosed within 10 days. In addition, firms must notify NASD within 30 days of learning that information disclosed on a termination notice (Form U5) filed for a broker has become inaccurate or incomplete. |
|