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3 days ago · Some registration categories are obvious – a person has functions of supervision, solicitation or conduct of business in securities or who are engaged in the training of persons associated with a member for any of these functions must register as general securities representatives.
2 days ago · This system, which is operated by FINRA Regulation, Inc., permits investment advisers to satisfy their filing obligations under state and federal law with a single electronic filing made over the Internet.
2 days ago · An adviser can also check on IARD under the heading “Registration Status” to see if its registration has been declared effective by the SEC. The process for State registered advisers varies from state to state, but is similar to the SEC process. Form ADV has two parts.
5 days ago · The CRD system is updated by brokers and firms using Form U-4 and Form U-5, and securities regulators by using Form U-6. The information contained in the CRD system is available to all state securities regulators, and is the basis for the information reported on FINRA’s BrokerCheck website.
2 days ago · The Series 7 exam — the General Securities Representative Qualification Examination (GS) — assesses the competency of an entry-level registered representative to perform their job as a general securities representative.
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5 days ago · Find a Fund. View prospectuses, proxy voting records, and other forms by searching the name of a mutual fund or ETF. Oversees investment advisers and investment companies, including mutual funds and other investment products, that investors may use to help them buy a home, send kids to college, or prepare for retirement.
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5 days ago · FINRA’s Research and Development (R&D) program is an innovation engine for FINRA - a sandbox for staff to take risks, explore new and disruptive technologies, assess potential usefulness to FINRA use cases, as well as investigate and test solutions to known problems.