NASD

[midtown]

Anybody have any experience or success in petitioning the NASD to reinstate licenses. I've been on the RIA side for 3 yrs and Im exempt here. Might take a job that needs my old ones. Id really had to retest all those exams.

 

[96 Buff]

How long ago did they expire? The full 3 years since, I'm guessing here, your current firm did not pick up the sponsorship of the licenses?

 

[midtown]

My current firm is an RIA not a B/D. No need or requirement for those. ie 7, 8, 24, 63, 66.

 

[96 Buff]

Our compliance department said that, if I were to leave today, I'd have 2 years to find another firm to pick up my licenses or else & need to retest.

I know your question was about petitioning. Since it's a year or more since the 2-year window passed, I don't know how successful a petition could be. Perhaps HorninNYC could drop a line to his compliance dept to see what they say?

 

[96 Buff]

Also, have you run this by your potential new employer? Maybe they'd help with any petitioning.