New Member Process
 Application Changes
 Continued Membership


 Avoiding Complaints


 Exam Training Schools
 Proctor Center Locations
 Licensing Exam Guide
 Test Prep & Strategies


 Understand Your Rights


 Know the Rules & Regs


 Professional Associations



Forms U-4, U-5, and U-10 are used by registered representatives, broker/dealers and regulatory agencies to insure proper registration and disclosure of information. Understanding the rules and rational behind disclosure requirements and your rights to challenge such disclosures is invaluable. Your Registered Representative Membership includes valuable insights regarding these forms and the associated disclosures and amendments including:

  • Form U-4, Form U-5, and Form U-10
  • Regulatory procedures
  • Disputing a disclosure on a Form U-5 filing
  • Two-year window
This information is provided to help you protect yourself and your professional reputation.


 

 

 

 

 

 

 

 

 

 

 

 

 


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