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Form U-4/U-5 (17)
Your search for Form U-4/U-5 returned 17 results.
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11/01/2018 | Content area: Broker-Dealer
A too narrow interpretation about requirements surrounding the disclosure of customer complaints resulted in LPL Financial failing to file or amend re...
7/12/2018 | Content area: Broker-Dealer
Last week, FINRA commenced an enhanced disclosure review process for public financial records of those individuals seeking registration with the broke...
1/18/2018 | Content area: Broker-Dealer
Forms BD, U4, U5 and other registration forms contain personal information that must be protected. FINRA has released guidance on how to protect this ...
12/15/2016 | Content area: Broker-Dealer
Along with everyone else in the financial services industry, FINRA has clearly been reading the stories detailing the Wells Fargo’s sales scandal (BD ...
11/23/2016 | Content area: Broker-Dealer
Not timely reporting more than 365 required filings over a span of several years and, on average, making these filings over four years late is a sure-...
3/24/2016 | Content area: Broker-Dealer
Last year, FINRA ratcheted up fines for firms falling short on their Form U4 reporting obligations. It’s not done yet.   RBC Capital Markets agreed to...
2/23/2016 | Content area: Broker-Dealer
We’ve written about the perils of getting sued for defamation over Form U5 statements, and how to minimize your exposure (IA Watch, June 9, 2015; IA W...
2/23/2016 | Content area: Broker-Dealer
Are corrective action statements, especially those involving changes in personnel, worth it (see related story)?   Unlike a Form U5, where firms are r...
12/03/2015 | Content area: Broker-Dealer
Beginning this month, investors will now have quicker access to disclosure information reported on Form U5. The SEC has approved a change to FINRA rul...
6/09/2015 | Content area: Investment Adviser
As business divorces go, the split between Scott McCaskill and David Urovsky spilled its fair share of bad blood. Both would be terminated by Raymond ...
3/19/2015 | Content area: Broker-Dealer
Make sure you monitor wage garnishment orders that come in concerning your employees to determine if they rise to the level of reportable events on Fo...
2/05/2015 | Content area: Broker-Dealer
Many small B-Ds will have to strengthen checks of registration applicants under an SEC-approved FINRA rule that goes into effect July 1. And though th...
2/17/2014 | Content area: Broker-Dealer
It started as a routine exam by a state regulator in 2007 and seven years later remnants of the case languish in court as a rep who says he was railro...
11/26/2012 | Content area: Investment Adviser
A New York registered rep, over the course of seven years and 11 employers, failed to disclose on his Form U4 that he was subject to three judgments, ...
10/26/2009 | Content area: Investment Adviser
NASAA reminds that Nov. 14th is the deadline to complete six new disclosure questions added this year to Form U4 if you haven't done so already. Inve...
6/22/2009 | Content area: Investment Adviser
You have until Tuesday to comment to the North American Securities Administrators Association about the changes being made to the U4 and U5 forms (IA ...
5/25/2009 | Content area: Investment Adviser
If your firm employs state-registered reps or is dually registered, changes to Form U4 and U5 could be important. By November, firms will have to amen...


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