Transcription of Web CRD - Individual Form Filing: Form U4
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Web CRD - Individual Form Filing: Form U4
2017. FINRA. All rights reserved. Materials may not be reprinted or republished without the express permission of FINRA. Individuals, firms, and data mentioned in these materials are fictitious and are presented exclusively for purposes of illustration or example. About Form U4 Web CRD provides entitled users at Broker-Dealer and Investment Adviser firms with the ability to submit electronic filings of Form U4 to fulfill securities registration and licensing requirements for Registered Representatives (RRs) and Investment Adviser Representatives (IARs). For more information regarding the last time Individual Forms were revised, please access the Individual Forms Web page at: Individual Form filing : Form U4 Web CRD Questions on Web CRD? Call the FINRA Gateway Call Center at 301-869-6699 8 - 8 , ET, Monday-Friday. Contents: Form U4 filing Types (pg. 2) Create a U4 filing - Search for an Individual (pg.)
Copyright 2017. FINRA Release 2017.09 (September) 2 Individual Form Filing - Form U4 U4 Filing Type When to use Initial Use this filing type for individuals who have ...
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