Form U4 Instructions - FINRA
the individual does not have a middle name, leave this field blank. Last Name. Enter the individual's last name. Do not use nicknames or abbreviations or make modifications to the individual's last name. Include punctuation when and where appropriate. Suffix. Enter any suffix that follows the individual's last name, such as Jr., Sr., etc. Include
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15-07 - finra.org
www.finra.orgRegulatory Notice 3 cuR †… 15-07 FINRA does not intend Supplementary Material .01 to be an exhaustive list by which firms can make a reasonable determination of compliance with Section 15(a).
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Regulatory Notice 17-30 - finra.org
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