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Issuer Company-Related Action Notification Form Page 1 of 5 Your form has been submitted to FINRA. If there is a fee applicable to your Company-Related Action, please click the Proceed to Pay Online

How to fill out httpsformsfinraorgselfregprintformaspxformquery issueract4ampinstanceid

1. Open a web browser and go to the URL: https://forms.finra.org/selfreg/printform.aspx?formQuery=issueract4&instanceId=6c02f894-58c8-431b-a275-9f07fbc8a3ad&returnPage=.
2. Look for the form that needs to be filled out on the web page.
3. Carefully read and understand all the instructions provided on the form.
4. Start filling out the form by entering the required information in the corresponding fields. Make sure to provide accurate and complete information.
5. Double-check all the entered information to ensure its accuracy before proceeding.
6. Follow any additional instructions or requirements mentioned on the form and provide any supporting documents, if necessary.
7. Once you have completed filling out the form and providing all required information, review it once again to ensure everything is in order.
8. Submit the form by clicking on the appropriate button or following any submission process specified on the webpage.
9. After submission, make note of any confirmation or reference number provided for future reference.

Anyone who is required to complete the specific form mentioned in the URL may need to fill out https://forms.finra.org/selfreg/printform.aspx?formQuery=issueract4&instanceId=6c02f894-58c8-431b-a275-9f07fbc8a3ad&returnPage=. This could include individuals or entities involved in the relevant regulatory or registration process, such as issuers or participants in the financial industry. It is important to consult the specific guidelines or instructions provided by the issuing authority to determine who exactly needs to fill out this form.

People Also Ask about

Who should file a form U4?

The Form U4 is the Uniform Application for Securities Industry Registration or Transfer. Representatives of broker-dealers, investment advisers, or issuers of securities must use this form to become registered in the appropriate jurisdictions and/or SROs.

What disqualifies you from FINRA?

causing repeated and routine scheduling problems; being unprepared for conferences and hearings; being unwilling to abide by the Code; and. violating the Code of Ethics for Arbitrators in Commercial Disputes.

How long does it take for FINRA to approve U4?

The typical timeframe is 2-3 weeks to receive a decision from FINRA. The process can take longer if Tina provides inaccurate or incomplete information on the form. After Jason provides an overview of the form, Tina begins completing her U4 form online.

What disqualifies you on a FINRA background check?

FINRA Disqualification Criteria Felony convictions for 10 years following the conviction date. Certain misdemeanor convictions for 10 years from the conviction date. Temporary or permanent injunctions for unlawful securities or investment banking activities.

What disqualifies you from getting a Series 7 license?

Disqualification of a Series 7 License You are convicted of certain misdemeanors and any felony within a period of ten years from the date of conviction. A court of competent jurisdiction issued against you a temporary or permanent injunction involving a broad range of unlawful investment activities.

How do I access my U4 form in FINRA?

Retrieving & Updating Form U4 If a firm has enabled the Allow Rep Edits feature within a draft Form U4, a yellow banner will display in FinPro's Reminders section with a link to the filing. After clicking the Open Filing link, the draft Form U4 will open in Data Entry View within a new tab or window.

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