Search results
Representatives of broker-dealers, investment advisers or issuers of securities must use the Form U4 (Uniform Application for Securities Industry Registration or Transfer) to be registered with the appropriate jurisdictions and/or self-regulatory organizations (SROs).
- Form U4 and FINRA Gateway
For the last couple of years, FINRA has been working to...
- FINRA Rule 1013
An Applicant shall submit an application that includes: (A)...
- Form U4 in FinPro
FinPro now offers two optional features that permit users to...
- 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...
- Form U4 and FINRA Gateway
Include all firm(s) from Section 3 (REGISTRATION WITH UNAFFILIATED FIRMS). Account for all time including full and part-time employments, self-employment, military service, and homemaking. Also include statuses such as unemployed, full-time education, extended travel, or other similar statuses.
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.
Broker-dealers register by filing an application on Form BD, which you may obtain from the SEC's webpage at http://www.sec.gov/about/forms/formbd.pdf or through the SEC's Publications Office at (202) 551-4040. You also use Form BD to: apply for membership in an SRO, such as FINRA or a registered national securities exchange;
The Listing Center streamlines the preparation of listing applications and forms, making the listing review and approval process more efficient by pre-populating certain fields, allowing...
21 gru 2017 · Form U4 is the Uniform Application for Securities Industry Registration or Transfer. Representatives of broker-dealers, investment advisers, or issuers of securities must fill out the Form U4 to become registered in the appropriate jurisdictions and/or SROs.
An applicant for membership with The Nasdaq Stock Market, Inc. must complete this Membership Application Form, including Exhibit A (collectively “Application Documents”).
