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FINRA Registration Forms (Forms U4, U5, U6, BD and BR) FINRA is responsible for the Central Registration Depository (CRD) program, which supports the licensing and registration filing requirements of the U.S. securities industry and its regulators. The Uniform Registration Forms are periodically revised to incorporate various changes to the forms.
Securities. The department registers more than 200,000 broker-dealers, broker-dealer agents, investment advisers (IA's), investment adviser representatives (IA Reps) and notice filers (IA Notice Filers) who conduct securities-related business in Pennsylvania.
Examination requirements for investment advisers and investment adviser representatives. (a) Examination requirements. To be registered as an investment adviser or investment adviser representative under the act, an individual shall meet one of the following examination requirements:
2 paź 2024 · Financial securities licenses like Series 7 and Series 63 are required by individuals who market and sell investments or securities.
2 mar 2024 · To be registered as an investment adviser or investment adviser representative under the act, an individual shall meet one of the following examination requirements: (1) The individual, on or after January 1, 2000, and within 2 years immediately before the date of filing an application with the Department, received a passing grade on The ...
1 gru 2014 · A complete and up-to-date index of regulations and statements of policy for institutions and licensees of the Department of Banking and Securities can be found under Title 10 of the Pennsylvania Code.
Investment adviser registration procedure. (a) An applicant for initial registration as an investment adviser shall complete a Uniform Application for Investment Adviser Registration (Form ADV), or a successor form.
