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Open Categories Menu Purpose of the Forms and Discussion of Recently Approved Changes & Requirements The Financial Industry Regulatory Authority (FINRA), is the largest independent regulator for all securities firms doing business in the United States, and is the entity designated as the filing depository by the U.S. Securities and Exchange Commission for purposes [...]
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Posts Tagged ‘ form U5 ’
24 June
Posted in
Legal Resources
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Form U4 and Form U5 | Information About the Uniform Registration Forms for Broker-Dealers and Investment Advisors
16 June
Form U4 and Form U5 Amendments
NASAA Requests Comments on Proposed Changes Form U4 is the form used by Investment Advisory firms to register investment advisor representatives with their firm. It is also used by broker-dealers to register reps with their firms. Form U5 is used by both IA and BD firms to terminate a representative’s [...]
