Broker-Dealers: Registration and Licensing of Associated Persons and Personnel | Practical Law

Broker-Dealers: Registration and Licensing of Associated Persons and Personnel | Practical Law

A Practice Note addressing the registration and licensing process for associated persons of a broker-dealer at a Financial Industry Regulatory Authority (FINRA) member firm. Specifically, this note reviews FINRA rules and regulation relating to eligibility, mandatory registration, permissive and inactive registrations, statutory disqualification, qualification by examination (licensing), Form U4, Form U5, Form U6, and the various stages of registration.

Broker-Dealers: Registration and Licensing of Associated Persons and Personnel

Practical Law Practice Note w-010-8254 (Approx. 10 pages)

Broker-Dealers: Registration and Licensing of Associated Persons and Personnel

by Practical Law Corporate & Securities
MaintainedUSA (National/Federal)
A Practice Note addressing the registration and licensing process for associated persons of a broker-dealer at a Financial Industry Regulatory Authority (FINRA) member firm. Specifically, this note reviews FINRA rules and regulation relating to eligibility, mandatory registration, permissive and inactive registrations, statutory disqualification, qualification by examination (licensing), Form U4, Form U5, Form U6, and the various stages of registration.