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Finra s Form: What You Should Know

Note: All correspondence regarding the NMA or the forms shall be submitted only through the mail to: NMA Formal Review Team P.O. Box 80917 Boulder, CO 80302 For all other requests, please contact the following entities: Include contact information for all agents involved, including mailing address, telephone and e-mail codes, any email addresses, personal names and email addresses of any representatives you wish to contact on your behalf. FINRA's U4 Review Team P. O. Box 8094 Boulder CO 80 P.O. Box 8526 Lakewood, CO 80 P.O. Box 8512 View, CO 80 P.O. Box 8054 Boulder, CO 80 (fax) P.O. Box 8051 Boulder, CO 80 (fax) Contact your local branch or the office in California regarding information on an NMA examination as it relates to you. NMA Forms: Review Forms, Inquiries, Complaints and Support Information. Firms must provide a copy of all forms and supporting documentation. For U5/U4 Enrollment requests: The CFPB does not have access to the U4 information. The CFPB must be able to confirm with the firm that the Form U4 and Form U5 information are in order before it can accept (or consider a complaint) a Firm's U4 information. Firms must make inquiries for CFPB purposes, and will be notified of the CFPB's intent(s) to file a complaint. Once a CFPB inquiry receives a firm response, that Firm's response can be considered an acknowledgement that the U4 information is in order. If the CFPB discovers that a Firm's U4 information is incorrect, it must issue a Consumer Alert stating the incorrect information is incorrect, and that a Firm's U4 information should be updated. It is a violation of the law, for the CFPB to use the incorrect information. The CFPB will not accept a Firm's U4 information with incorrect information. Firms should submit all new U4 information.

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