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Arizona Form U6 for CRD/IARD Organization

Arizona Form U6 for CRD/IARD Organization

Name: Arizona Form U6 for CRD/IARD Organization
Brand: US Legal Forms
Price: 59.00 USD
Rating: 4.83 (471 reviews)

Category:

Arizona Secretary of State - Securities

State:

Arizona

Control #:

AZ-BSS-40

Format:

Instant download

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Public form

Description

Form U6 for CRD/IARD Organization Arizona Form U6 for CRD/IARD Organization is a registration document required by the Arizona Corporation Commission (ACC) for organizations that wish to register with the Financial Industry Regulatory Authority (FINRA) as a broker-dealer or investment adviser. This form must be completed and submitted to the ACC along with supporting documents such as the Uniform Application for Broker-Dealer Registration, Uniform Investment Adviser Registration, and a copy of the most recent audited financial statements. The form requires information such as the company name, contact information, business purpose, and the names and titles of all officers and directors. There are two types of Arizona Form U6 for CRD/IARD Organization: the Initial Registration and the Renewal Registration.

Arizona Form U6 for CRD/IARD Organization is a registration document required by the Arizona Corporation Commission (ACC) for organizations that wish to register with the Financial Industry Regulatory Authority (FINRA) as a broker-dealer or investment adviser. This form must be completed and submitted to the ACC along with supporting documents such as the Uniform Application for Broker-Dealer Registration, Uniform Investment Adviser Registration, and a copy of the most recent audited financial statements. The form requires information such as the company name, contact information, business purpose, and the names and titles of all officers and directors. There are two types of Arizona Form U6 for CRD/IARD Organization: the Initial Registration and the Renewal Registration.

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How to fill out Arizona Form U6 For CRD/IARD Organization?

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FAQ

Regulators submit Form U6 filings to report disclosure events and disciplinary actions against individuals and organizations. FINRA also uses the form to report final arbitration awards against broker-dealers and associated persons.

Central Registration Depository (CRD)

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.

The Form also is used by applicants to register as broker- dealers with certain self-regulatory organizations and all of the states. The Commission and the Financial Industry Regulatory Authority, Inc. maintain the files of the information on this Form and will make the information publicly available.

The Form U4 (Uniform Application for Securities Industry Registration or Transfer) is used to establish that registration. FINRA, other self-regulatory organizations (SROs) and jurisdictions use the Form U4 to elicit employment history, disciplinary and other information about individuals to register them.

The Form U6 (Uniform Disciplinary Action Reporting Form) is used by the SEC, SROs and jurisdictions to report disciplinary actions against broker-dealers and associated persons. This form is also used by FINRA to report final arbitration awards against broker-dealers and associated persons.

Form U5 is the Uniform Termination Notice for Securities Industry Registration. Form U4 and Form U5 are submitted by broker-dealers and are designed to report information about registered representatives. Form U6 is the Uniform Disciplinary Action Reporting Form and is filed by regulators.

More info

For Pending Actions, complete Item 14 only. 11. Non Filing Branch - Lists notices of firms and branches whose branch status has changed without a Form BR filing.This queue is located in Web CRD. IA Disclosure Expiration Date: 1. Q: Which items in Form ADV must Exempt Reporting Advisers complete? Application: Submit a Form U-4 electronically through FINRA's nationwide database known as the Central Registration Depository (CRD) System. Instant access to fillable Microsoft Word or PDF forms. Minimize the risk of using outdated forms and eliminate rejected fillings. Form CRS Amendments. Self-regulatory organization subject to SEC oversight, is the contractor.

Arizona Form U6 for CRD/IARD Organization

Description

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How to fill out Arizona Form U6 For CRD/IARD Organization?

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FAQ

What is form U6 used for?

What is the full form of CRD?

What is form U4 and U5?

Who files a form U6?

Is Form BD publicly available?

What is a U 4 form?

What is FINRA form U6?

What is form U4 vs U5 vs U6?

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