What to Expect: The U4 and U5 Filing Process
This webcast focuses on the process for submitting Form U4 and Form U5 filings. These filings are how individuals begin and end their registered relationship with NASD and are essential for NASD to perform its regulatory oversight of the industry.
Learn what NASD expects of you and what to expect from NASD when filing a Form U4 or Form U5. The webcast also provides background on the process for review and approval. This is part of the "What to Expect" webcast series, which was created to take the mystery out of NASD's regulatory processes.
View Webcast
Related Resources:
What to Expect: The U4 and U5 Filing Process - Resource Guide (PDF 71 KB)
Form U4 (PDF 2.78 MB)
Form U5 (PDF 2.04 MB)
Electronic Fingerprint Vendors
Interpretive U4 and U5 Filing Guidance
Web CRD Late Filing Fee Report
Web CRD Automatic Email Notifications (PDF 253 KB)
Audio-Only Version (podcast)
|
Important Viewing Notes:
Access Some firms have firewalls that are not configured to allow audio/video from the Internet. Please check with your IT department to resolve this issue.
Required Software Accessing the webcast requires Macromedia Flash 7.0 or higher.
Download Macromedia FlashPlayer
Required Hardware Your computer must have a sound card and speakers (internal or external) in order to hear the webcast. |
