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Funding for the new system will come from filing fees paid by advisers to NASDR when they submit an application for registration and file their annual amendment to their Forms ADV.
NASDR will release the public disclosure system, which should begin operating a few months after the first filings are made on the system.
[6] Although 67 issues were mandatory at some point during this period, we excluded two because, after conversations with NASD Regulation (NASDR) officials, we could not be confident that the data files contained all transactions.
We identified and deleted suspect transaction reports by means of an algorithm that uses NASDR data on the bid and ask prices.