Notification of persons with 90 days remaining in their Regulatory Element window provides firms with yet another tool to help them monitor their registered persons' compliance with Regulatory Element requirements. Firms are also reminded that the e-mail notifications that Web CRD sends to firms notifying them of registered persons who go inactive for failing to satisfy their Regulatory Element requirements within 120 days, do not get sent for new hires at the firm. To learn of new hires who are inactive, firms must view the queue Current Individual Deficiencies and select CE Inactive from the deficiencies list.
Discussion Following are steps to request the e-mail notifications.
Logon to Web CRD and go to the CRD Main tab. Under the Organization column of the Site Map, click on NFI Organization Search. Click on Firm Notification on the Navigation Panel at the left of the screen, or on the footer at the bottom of the screen. If you do not see Firm Notification on the Navigation Panel, you may not have authorization for this function. Please contact your firm's Web CRD Account Administrator.