Document Library
Admission
Registration
| wdt_ID | Name | File Attachment |
|---|---|---|
| 1 | NASD Form 1a – Registration as a Participating Institution | File Attachment |
| 2 | NASD Form 1b – Registration as an Authorized Trader | File Attachment |
| 3 | NASD Form 4a – Registration as a Custodian | File Attachment |
| 4 | NASD Form 4b – Registration as a Pension Custodian | File Attachment |
| 5 | Template for NASD Reference Letter | File Attachment |
| 6 | Sworn Undertaking by the Operator | File Attachment |
| 7 | NASD Registration Fees | File Attachment |
| 8 | NASD Form 1c - Transfer of PI Licence | File Attachment |
| 10 | ||
| Name |
Participating Institution Status Update
| wdt_ID | Name | File Attachment |
|---|---|---|
| 1 | NASD Form 5a – Notification of resignation of an Authorised Trader | File Attachment |
| 2 | NASD Form 5b – Transfer of Status as Authorised Trader | File Attachment |
| 3 | NASD OTC-Participating Institution Update Form | File Attachment |
| Name |
Market Services
| wdt_ID | Name | File Attachement |
|---|---|---|
| 1 | CSCS – Inter Member Transfer Form | File Attachement |
| 2 | NASD Form 6 – Nominal Transfer Form | File Attachement |
| 3 | NASD Form 7a – Negotiated Deal Form Sell Side | File Attachement |
| 4 | NASD Form 7b – Negotiated Deal Form Buy Side | File Attachement |
| 5 | NASD Form 7c – Crossed Deal Form | File Attachement |
| 6 | NASD Form 8a – Detachment To Special Account | File Attachement |
| 7 | NASD Form 8b – Detachment From Special Account | File Attachement |
| Name |
Fees
Reports
| wdt_ID | Name | File Attachment |
|---|---|---|
| 1 | Complaint Feedback Form | File Attachment |
| 2 | Complaint Form | File Attachment |
| 3 | Quarterly Transaction Report Format | File Attachment |
| 4 | Participating Institution Quarterly Disclosure Form | File Attachment |
| Name |