Representatives of broker-dealers, investment advisers or issuers of securities must use the Form U4 (Uniform Application for Securities Industry Registration or Transfer) to be registered with the appropriate jurisdictions and/or self-regulatory organizations (SROs). FINRA, other SROs and jurisdictions use the Form U4 to elicit employment history, disciplinary and other information about individuals to register them.
Several rules require notification to FINRA and the U.S. Securities and Exchange Commission (SEC) based on certain financial and operational obligations. FINRA’s Regulatory Notifications application in FINRA Gateway provides a filing system for member firms to electronically submit this information to FINRA. For guidance related to submitting required notifications to the SEC, firms should visit the SEC’s website or contact the SEC.
The information on this page only applies to organizations without Super Account Administrators (SAAs). See the User Accounts Certification Process for Super Account Administrators (SAA) page for information about the certification process for broker-dealers, funding portals, investment advisers and US-based regulators.When is the 2025 User Accounts Certification Period?The 2025 User
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
Through this Notice, the National Association of Securities Dealers, Inc. (NASD®) announces the election results for the District Committees and the District Nominating Committees. The newly elected
FINRA has launched an online advertising campaign, Get Your Head in the Trade, encouraging new investors to understand investment risks and rewards as well as their own financial goals and risk tolerance before making an investment decision.
November 2, 1999The data in all ROEs in a single FORE must belong to the firm identified by the Order Receiving Firm MP ID in the FORE header. In the majority of cases, the Order Receiving Firm MP ID in the FORE header and in each ROE will be identical. However, when an Order Receiving Firm has multiple MP IDs or has changed its MP ID recently, it is acceptable for the MP ID in the FORE header to
I M P O R T A N T
Officers * Partners * Proprietors
TO: All NASD Members and Other Interested Persons
Earlier this year, the provisions under the Tax Equity and Fiscal Responsibility Act of 1982 ("TEFRA") with respect to withholding on dividends and interest was repealed by Congress.
Shortly after the repeal of withholding, the Interest and Dividend Tax Compliance Act of 1983 ("
Continuing Education Planning
REQUEST FOR COMMENT
Proposed Rule Governing the Purchase, Sale, or Exchange of Deferred Variable Annuities
Comment Period Expired: August 9, 2004
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Affidavits
Arbitration
Central Registration Depository System (CRD® or CRD system
On May 12, 2014 FINRA filed for immediate effectiveness SR-FINRA-2014-024 with the Securities and Exchange Commission ("SEC").
