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1. www.finra.org › registration-exams-ce › broker-dealersForm U4 | FINRA.org

   www.finra.org › registration-exams-ce › broker-dealers

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   Entitled system users at broker-dealer and investment adviser firms can file Form U4 electronically to fulfill securities registration and licensing requirements for registered representatives and investment adviser representatives. Learn more about registering a new candidate.

   • Form U4 and FINRA Gateway

     For the last couple of years, FINRA has been working to...

   • FINRA Rule 1013

     (a) Filing of Application (1) How to File An Applicant for...

   • Form U4 in FinPro

     Retrieving & Updating Form U4. If a firm has enabled the...

   • Application for Registration

     Sec. 2. (a) Application by any person for registration with...

   • Manage Your Career Guide

     Throughout your securities industry career, FINRA, other...

   • Firm Settings Guide

     Firm Settings. Entitled users will log in to FINRA Gateway,...

   • Classic CRD

     FINRA is responsible for the Central Registration Depository...

   • Data

     Our member firms have routinely identified flexible access...

2. ag.ny.gov › broker-dealer-and-securities-issuersBroker-dealer and securities issuers registration | New York...

   ag.ny.gov › broker-dealer-and-securities-issuers

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   Appropriate instructions and forms for an intrastate offering of securities are: The Intrastate Financing Act Regulations; Form Intrastate 1; Form M-11; and the State Notice and Further State Notice Form

3. www.finra.org › sites › defaultForm U4 Instructions - FINRA.org

   www.finra.org › sites › default

   The Form U4 is the Uniform Application for Securities Industry Registration or Transfer. Representatives of broker-dealers, investment advisers, or issuers of securities must use this form to become registered in the appropriate jurisdictions and/or SROs.

4. www.finra.org › sites › defaultForm U-4 - FINRA.org

   www.finra.org › sites › default

   U4 - REGULATORY ACTION DRP Rev. DRP (05/2009) This Disclosure Reporting Page is an INITIAL or AMENDED response to report details for affirmative response(s) to Question(s) 14C, 14D, 14E, 14F and 14G(1) on Form U4;

5. ag.ny.gov › sites › defaultBroker Dealer and Securities Registration Information

   ag.ny.gov › sites › default

   Call for forms (212) 416-8222 or check the web address www.ag.ny.gov/bureau/investor-protection-bureau. Write for forms: Attention: Registration Section, New York State Department of Law, Investor Protection Bureau, 28 Liberty Street, 15th Floor, New York, New York 10005.

6. pmahoneylaw.com › u4-formU4 Form - The Law Offices of Patrick R. Mahoney, P.C.

   pmahoneylaw.com › u4-form

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   The Form U4 is short for Uniform Application for Securities Registration or Transfer. The Financial Industry Regulatory Authority (FINRA) requires its financial advisors to be registered before they can facilitate the purchase, sale, or transfer of securities.

7. mccloskeylawpllc.com › mccloskey-law-pllc-nyag-adopts-rule-amendments-toNYAG adopts rule amendments to streamline blue sky filings for...

   mccloskeylawpllc.com › mccloskey-law-pllc-nyag-adopts-rule-amendments-to

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   29 gru 2020 · On December 1, 2020 the New York Attorney General (“ NYAG ”) announced the adoption of significant rule amendments governing the registration and related filing requirements for issuers that are considered “dealers” of their own securities under Section 359-e of the New York General Business Law (“ GBL ”). 1 These changes were ...