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Individual Registration

Optional Form U4 E-Signature and CE Notification Features Available in FINRA Gateway

Effective September 25, firms can now enable two new optional features in FINRA Gateway’s Firm Settings. Registered securities professionals with FinPro accounts can now receive auto-generated email reminders about their regulatory element CE requirement as well as electronically sign their Form U4 filings.

You must be registered with FINRA if you’re engaged in the securities business of your firm, which includes salespersons, branch managers, department supervisors, partners, officers and directors. You are required to pass qualification exams to demonstrate competence in your particular securities activities. The Guide to Your Securities Industry Career offers a comprehensive outline of the registration process and the responsibilities of representatives to their firms and customers.

Register a New Candidate

The appropriate registration documents must be filed through the Central Registration Depository (CRD) program to request registration. If necessary, candidates must also pass a qualification exam.

Update an Individual's Registration

Firms and registered individuals have a continuing obligation to update Form U4 promptly if any information changes or becomes inaccurate, such as disclosure events and outside business activities.

Terminate an Individual's Registration

Firms must file a Form U5 within 30 days and provide the individual with a copy for their personal records. The form indicates the employment end date and the reason. Some individuals may continue working for the firm in a non-registered capacity after the submission of a Form U5.

Renew an Individual's Registration

Firms are required to renew the FINRA and state/jurisdiction registrations of their registered reps every year.

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