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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. www.sec.gov › pdf › formbdForm BD - SEC.gov

   www.sec.gov › pdf › formbd

   Form BD is the Uniform Application for Broker-Dealer Registration. Broker-Dealers must file this form to register with the Securities and Exchange Commission, the self-regulatory organizations, and jurisdictions through the Central Registration Depository ("CRD") system, operated by FINRA.

3. www.intermediary.natwest.com › intermediary-solutions › broker-portal-guidancebroker-portal-guidance - NatWest

   www.intermediary.natwest.com › intermediary-solutions › broker-portal-guidance

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   The Broker Portal makes it simple for you to submit and track cases with us. Key Benefits of the Broker Portal: Easy to use design. Integrated with internal systems, increasing speed to offer. AIP certificate on accepted AIPs. Improved Case Tracking functionality.

4. www.sec.gov › tm › divisionsmarketregtmcompliancefpregistrationguidehtmRegistration of Funding Portals - SEC.gov

   www.sec.gov › tm › divisionsmarketregtmcompliancefpregistrationguidehtm

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   Funding portals must register by filing an application on Form Funding Portal through the SEC's EDGAR system. Form Funding Portal requires information from the funding portal applicant, including information about the funding portal's business, principals, control relationships, and employees.

5. www.finra.org › registration-exams-ce › broker-dealersForm BD | FINRA.org

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

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   Those who wish to become registered must file Form BD (the Uniform Application for Broker-Dealer Registration) with the SEC, appropriate self-regulatory organizations (SROs), including FINRA, and jurisdictions.

6. forms.app › en › templatesFree Online Broker Registration Form Template - forms.app

   forms.app › en › templates

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   A broker registration form can surely do the job for you. Make the best out of it with forms.app’s broker registration form template and build a well-rounded broker registration form for onboarding new brokers.

7. www.sec.gov › file › form-bdSEC.gov | Form BD

   www.sec.gov › file › form-bd

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   Form BD. formbd.pdf. Uniform application for broker-dealer registration.