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Finra logo Form: What You Should Know

This approval is pending with the U.S. Securities and Exchange Commission (SEC), which oversees the Investment Adviser Act of 1940. FINRA Forms | FINRA.org Use of FINRA logo. 07/16/2015 – 05/26/2016. While in the process of the issuance, FINRA sent e-mail notifications to firms asking for a logo to be used for online registration. Fri, 10/24/2013 – 12:00 AM FINRA Forms Release. Use this if the new form is a revised version of a previously dated form: • A †(1)‡: Use this symbol if you are changing the form on which you listed the prior form. For example, if you applied for a †12B (Form 6251), apply a copy of your current form only. • A ‡(2)‡: Use this symbol if you are updating your previous form. For example, if you applied for a †12B (Form 6251) under a prior version, update your prior Form 12B with a new ‡12B (Form 6251) instead. • A ‡(3)‡: Use this symbol if you are applying for a new Form 12B (Form 6251). For example, apply a copy of your form only. • A ‡(4)‡: Use the same symbol if you are updating your ‡12B (Form 6251). In that case, update your previous Form 12B with a new ‡12B (Form 6251). • A ‡(5)‡: Use a square to mark Form 6252; that is, use ‡(4)‡ to mark the copy of your form only. • A ‡(6)‡: Use the same symbol if you are updating ‡12B (Form 6252). In that case, update your previous Form 12B with a new ‡12B (Form 6252). FINRA Forms | FINRA.org Use of FINRA logo. 10/03/2013 – 02/25/2014. The use of FINRA logos is allowed for nonfinancial marketing material: • In a marketing copy, a FINRA logo in the upper left-hand corner or the top right-hand corner can make the copy more prominent.  In a marketing brochure, FINRA logos can be placed on the cover as well as inside the cover.

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