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Finra Form: What You Should Know

G., the US Court of Federal Claims, the State of California, the State of Arizona). The U.S. Secretary of State's Office (the only U.S. authority that may require a FINRA registration) requires the use of the Form U4, for example, if a public agency, such as the Department of Justice, seeks to administer a FINRA Rule or order. A user of the Form U4 should note that it will be used with the registration form that is used to determine if the application is qualified for registration Sample U4 The Form U4 can be printed and completed by users of the online form in the form of a paper form which is sent to the Commission with their application. The Commission requires a return receipt for all completed applications. This form provides a checklist of the required items (that will not be included in the registration) that were identified by the Form U4 applicant. This is often referred to as a “checklist form,” and is usually available for download in the Forms and Tools area of the website, as well as at the same page as the Form U4 application form. This checklist is useful for each applicant, which is helpful in finding some information if the user needs to provide a detailed explanation in its response. Form U5 | FINRA.org The Uniform Forms U5 (Uniform Application for Securities Industry Registration or Transfer) is used to establish that registration. The U.S. Secretary of State's Office (the only U.S. authority that may require a FINRA registration) requires the use of the U.S. Form U5, because otherwise a user would need to send Form U4 back to the Commission via the regular postal service. The U.S. State Department is the only U.S. authority that may require a registration application be filed online and requires the use of the Form U5, however, the same requirements apply, including the checklist that the user must include. A user of the U.S. Form U5, should note that the Form U5 and any attachments are filed in the same folder with the Form U4.

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