Transcription of What to Expect from the U4 and U5 Filing Process - finra.org
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What to Expect from the U4 and U5 Filing Process - finra.org
Th is is another insta llmen t in our Wha t to Exp ec t we bca st serie s on finra sre gu lat or y proc ess es . It fo cus es on the proce ss fo r fi ling Uni form Ap plica tio nsfo r Bro ker- Deal er Regi str ati on (Forms U4) and Unifo rm Termi nat io n No ti ces fo rSec ur ity Ind ustry Reg istr ati on (Fo rm s U5). These fil ings are how indi vi dualsbeg in and en d thei r regi stered re lat io nship wit h FIN RA , and they are esse ntialfo r FINR A s abil ity to perf or m its regul atory ove rsi gh t resp onsi bilit ies. Ot hersel f-reg ulatory orga ni zati ons and re gula to rs re qui re the m, as wel l. Wit hin thi sguide, you wi ll lea rn what FIN RA expe cts of yo u and what yo u sho ul d exp ectfro m finra duri ng this proc ess . what to Ex pe ct fro m th eU4 andU5 Filin g Pro cessTh e Wh at to Expect We bc ast Se riesIn or der to do businessin the se curitiesindust ry, a personmust pass cer ta in qual ifyi ng ex ami en ro ll in th es e exam s, a firm must complete and submita Form U4 and fi nge rpri nt card to FINRAon its employees beh alf.
Thisisanotherinstallmentinour“WhattoExpect”webcastseriesonFINRA’s regulatoryprocesses.ItfocusesontheprocessforfilingUniformApplications forBroker ...
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