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NASA Regulation, Inc. 9509 Key West Avenue Rockville, MD 20850 (240) 3864623 November 19, 2001, Katherine A. England Assistant Director Division of Market Regulation Securities and Exchange Commission
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NASD Regulation Inc 9509 is a regulation put forth by the National Association of Securities Dealers to govern certain reporting requirements.
All member firms and individuals registered with NASD are required to file NASD Regulation Inc 9509.
NASD Regulation Inc 9509 must be filled out online on the NASD website with the required information.
The purpose of NASD Regulation Inc 9509 is to ensure transparency and compliance within the securities industry.
NASD Regulation Inc 9509 requires reporting of any relevant changes to the financial status or disciplinary history of the firm or individual.
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