NASAA
Not to be confused with the Aeronautics Organization, NASAA stands for this
What is North American Securities Administrators
Association?
The acronym, FINRA, is an abbreviation of this longer company name.
What is the Financial Industry Regulatory Authority?
Real time, customizable reports are only available using this type of reporting in Regulator Workspace
What is Dynamic Reporting?
Setting an individual to this type of review means the application will not automatically process.
What is manual review?
Pittsburgh is a city in western Pennsylvania at the junction of this number of rivers
What is three? (Allegheny River and Monongahela River, which combine to form the Ohio River)
NASAA’s Corporate Office is located in this metropolitan city
What is Washington, DC?
The "S" in RSL stands for this.
What is Supervisory?
This is one of the two new widgets deployed to Regulator Workspace in the last year
What are E-bill or Queue Totals widget?
This formal agreement is used to require additional supervision for an individual
What is an HSA or heightened supervision agreement?
This major league baseball team calls Pittsburgh home
Who are the Pirates?
When requesting to join a NASAA committee, you must fill out a CARF which stands for this
What is a Committee Assignment Request Form?
This FINRA website publishes the background and experience of all licensed financial brokers, advisors and firms freely for public use.
What is BrokerCheck (or IAPD)?
Currently, 14 of these exist in Dynamic Reporting
What are template reports?
Events identified as “Current” and “Archived” events in Classic CRD are known as this in Regulator Workspace
What are reportable and non-reportable?
This condiment was invented in Pittsburgh by H.J. Heinz
What is ketchup?
NASAA’s current president, Leslie Van Buskirk is the Securities Administrator of this mid-western state
What is Wisconsin?
Firms report RSLs to regulators using this form
What is Form U4?
You can access the Manual Approval Queue and Temporary Registration Queues from these places in Regulator Workspace
What are the dashboard quick-links and navigation panel?
This Uniform Form is completed by regulators to disclose disciplinary events
What is Form U6?
This is Pittsburgh’s metallic nickname
What is Steel City?
NASAA represents state and provincial securities regulators in the United States, Canada and this country
What is Mexico?
You can find a list of all states that have adopted the RSL definition by accessing this form on FINRA’s website
What is the SRO/Jurisdiction Fee Setting Schedule?
After approving an individual in Regulator Workspace, this happens to the Individual Review Worksheet
What is it goes away (disappears)?
This document discloses the details of the disciplinary or disclosure events
What is Form U4 DRP?
These potato dumplings are found throughout Pittsburgh restaurants and reflect the city’s Polish heritage
What are pierogies?