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 FINRA and are essential for FINRA to perform its regulatory oversight of the industry.
Learn what FINRA expects of you and what to expect from FINRA 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 FINRA's regulatory processes.
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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
Web CRD Late Filing Fee Report
Web CRD Automatic Email Notifications (PDF 253 KB)
Audio-Only Version (podcast)
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