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Utah Uniform Application for Securities Industry Registration or...

Utah Uniform Application for Securities Industry Registration or Transfer

Name: Utah Uniform Application for Securities Industry Registration or Transfer
Brand: US Legal Forms
Price: 59.00 USD
Rating: 4.71 (398 reviews)

Category:

Utah Department of Commerce - Blue Sky - Securities

State:

Utah

Control #:

UT-SKU-0026

Format:

Instant download

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Description

Uniform Application for Securities Industry Registration or Transfer The Utah Uniform Application for Securities Industry Registration or Transfer (UA) is a form used by securities industry professionals to register with the Utah Division of Securities or to transfer their registration from one jurisdiction to another. It is used for both initial registration and transfer applications. The UA form is available in two types: the Individual UA, which is used to register individuals as agents, investment advisers, and their representatives; and the Corporate UA, which is used to register corporations or other entities as agents, investment advisers, and their representatives. The UA contains sections for biographical information, background information, and information about the person or entity seeking registration. It also includes a section for disclosure of any information that could be material to the registration decision. The UA must be completed and submitted to the Utah Division of Securities for review.

The Utah Uniform Application for Securities Industry Registration or Transfer (UA) is a form used by securities industry professionals to register with the Utah Division of Securities or to transfer their registration from one jurisdiction to another. It is used for both initial registration and transfer applications. The UA form is available in two types: the Individual UA, which is used to register individuals as agents, investment advisers, and their representatives; and the Corporate UA, which is used to register corporations or other entities as agents, investment advisers, and their representatives. The UA contains sections for biographical information, background information, and information about the person or entity seeking registration. It also includes a section for disclosure of any information that could be material to the registration decision. The UA must be completed and submitted to the Utah Division of Securities for review.

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FAQ

Initial License Form U4 - Uniform Application for Securities Registration or Transfer. Exams - Proof of passing the SIE, the Series 63, Uniform Securities Agent State Law Examination (USASLE) or Series 66, Uniform Combined State Law Examination, and any other exams required by FINRA or Division.

Investment advisers (?IA?) and investment adviser representatives (?IAR?) are persons who provide advice to others about investments for a fee and are required by most states to register or become licensed.

Investment advisory representatives (IARs) are licensed and authorized personnel who work for investment advisory companies and are permitted to work with clients. The primary responsibility of an IAR is to provide investment-related advice as a financial advisor or financial planner.

Only states register investment adviser representatives, not the SEC, but those who must be registered include individuals working for both state and SEC-registered firms.

Who Files a Form U4? FINRA-member broker-dealers are required to file Forms U4 on behalf of proposed associated persons under FINRA Rule 1013.

To license as an Investment Adviser in Utah, the Investment Adviser and its designated official must complete the following process. FORMATION.IARD ENTITLEMENT.FORM ADV.DESIGNATED OFFICIAL (and other IA Reps).WRITTEN NOTIFICATION TO THE DIVISION.REVIEW PROCESS.APPROVAL.

Licensing Fee - $130.00 for the firm and $40.00 for each agent.

Managing an investment fund that invests in securities; Determining which recommendations or what advice regarding securities should be given; Soliciting, offering, or negotiating for the sale of or selling investment advisory services; Or supervises employees who perform any of the acts described above.

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The Form U4 (Uniform Application for Securities Industry Registration or Transfer) is used to establish that registration. Items 20 - 27 — The Form U4 is the Uniform Application for Securities Industry.Registration or Transfer. Form U-4 Uniform Application For Securities Industry Registration Or Transfer Form. This is a Official Federal Forms form and can be use in FINRA. Item 9 - 520 — Financial Industry Regulatory Authority's (FINRA) Uniform Application for Securities Industry Registration or Transfer. Form U-4 (Uniform Application for Securities Industry Registration or Transfer). Use Form U-4 to register at least one agent of your firm in Connecticut. Read Section A-1. Items 1 - 12 — The Securities and Exchange Commission has published in the Federal Register the Privacy Act Systems of Records Notice for these records.

Utah Uniform Application for Securities Industry Registration or Transfer

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