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NASD Audit frustration

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Jan 5, 2007 3:33 pm

The NASD is coming into our office in 2 weeks for an audit.  That’s 13 months after leaving the last time.  13 months is now officially 2 years by NASD standards   

The auditor just requested his information and he wants us to find forms from we would have filed with the NASD when we joined.  He was arguing with me for an hour that this form was required and we were in violation of NASD rules if we didn’t have it readily available.  Then it slipped out that we wouldn’t actually have this form since we joined the NASD when it founded.  woops.

This is going to be a lovely audit.