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PreRegistration Authorization Form Name: Social Security Number: / / Address: Street Address City State Zip Code Date of Birth (mm/dd): / Email Address: Please read the following statements carefully.

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How to fill out the Pre Registration Authorization Form online

Completing the Pre Registration Authorization Form accurately is essential for a smooth application process. This guide provides step-by-step instructions for filling out the form online, ensuring that you provide all necessary information clearly and correctly.

Follow the steps to complete your form online.

  1. Click 'Get Form' button to obtain the form and open it in your preferred editor.
  2. Begin with filling in your name in the designated field. Make sure to include your full name as it appears on official documents.
  3. Enter your Social Security Number in the specified format (XXX-XX-XXXX) to ensure your identity is verified properly.
  4. Fill in your complete address, including street address, city, state, and zip code. Ensure accuracy to avoid issues with correspondence.
  5. Provide your date of birth in the specified format (mm/dd). This information is necessary for identification purposes.
  6. Input your email address clearly, as this will be used for future communications regarding your application.
  7. Read the statements provided carefully. If you have questions, consider reaching out to your Talent Acquisition partner or recruiter before signing the form.
  8. Review the Terms & Conditions thoroughly. Acknowledge that completing the form does not guarantee employment or registration.
  9. Indicate whether you are currently engaged in any other business by selecting 'Yes' or 'No'. If 'Yes', provide detailed information as requested.
  10. Complete the Disclosure Information section by answering the questions with 'Yes' or 'No'. Be honest to avoid repercussions.
  11. If applicable, provide employment and education information for the past three years, ensuring there are no gaps.
  12. Finally, sign and date the form in the provided area. Remember, the signature must be handwritten and cannot be computer-generated.
  13. Once all fields are filled in, review your responses for accuracy. You can then save the changes, download, print, or share your completed form.

We encourage you to complete your documents online for greater convenience and faster processing.

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Form U4 is used to establish that registration. FINRA, other self-regulatory organizations (SROs) and jurisdictions use Form U5 (Uniform Termination Notice for Securities Industry Registration) to terminate registration and, if relevant, details why an individual left the firm.

FINRA Regulates Broker-Dealers, Capital Acquisition Brokers, and Funding Portals. A Broker Dealer is in the business of buying or selling securities on behalf of its customers or its own account or both. A Capital Acquisition Broker is a Broker Dealer subject to a narrower rule book.

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.

Who needs to follow FINRA regulations? Any firm that wants to act as a broker-dealer in the United States must first register with FINRA. This includes firms that are engaged in the business of buying and selling securities, as well as those that provide investment advice to clients.

Firms must register any person engaged in the securities business of the firm – including salespersons, branch managers, department supervisors, partners, officers and directors – before they can take a qualification exam.

Once you are registered or employed by a firm, you must comply with FINRA rules, federal and state securities regulations, and your firm's policies to maintain your registration.

Minimum FINRA Registration Requirements The FINRA Rule 1010 Series outlines a requirement for each new Applicant for membership, except sole proprietorships, to have at least two registered principals and one Financial and Operations Principal (FinOp).

The Form U4 requires registered representatives to disclose if they have ever been “convicted of or pled guilty or nolo contendere (“no contest”) in a domestic, foreign, or military court to any felony” or if they have been “charged with any felony.” The Form U4 also requires the disclosure of any conviction, guilty ...

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