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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...
- Form U4 and FINRA Gateway
This guide is intended to show you how to register and prepare your broker profile in the Broker Portal.
The Broker Portal is the new way to submit, manage and receive updates for InterBay mortgage applications. The mortgage application process has been redesigned and simplified, meaning applications only need to be submitted once. This guide will show you how to use the Broker Portal, along with the steps you must take when registering to use the ...
Page 1. Broker Registration Form. Tandem Bank Limited is a company registered in England and Wales (company registration number 00955491) with its registered office address at Hogarth House, 136 High Holborn London, WC1V 6PX.
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.
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.
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.
