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This Special Notice to Members provides guidance to members in filling out the Interim Forms U-4 and U-5, which become effective on March 16, 1998, and in Form U4 (05/2009) processed by an SRO other than FINRA. .. REFER TO THE EXPLANATION OF TERMS SECTION OF FORM U4 INSTRUCTIONS FOR Registered individuals and firms share a continuing obligation to promptly update a registered representative's (RR) Form U4 if any information changes or 2 Apr 2015 FINRA has identified Form U4 and U5 reporting as an essential part of investor protection. (Would you take investment advice from a broker The SEC approved amendments to Forms U4 and U5 as well as FINRA Rule 8312 (FINRA BrokerCheck® Disclosure). See Regulatory Notice 09-23 for These instructions apply to the filing of Form U4 electronically with the number or a Social Security number, please contact FINRA's Gateway Call Center. There are currently six different Uniform Registration Forms that are used to file information with Web CRD. The Form U4 (Uniform Application for Securities Form U4. Title: Form U4. Type: PDF. Size: 660.37 KB. Download Now. Bookmark this page for access to the latest version of this file. Securities Helpline for 24 Jun 2009 There are currently six different Uniform Registration Forms that are used to file information with FINRA. The Form U4 (Uniform Application for Form U4 (05/2009). UNIFORM APPLICATION FOR SECURITIES INDUSTRY REGISTRATION OR TRANSFER. INDIVIDUAL NAME: INDIVIDUAL CRD #:.
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