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•Facts About Con Artists / Realidades De Las Estafas (1)
•Form BR Uniform Branch Office Registration Form General Instructions (1)
•Form U4 Uniform Application for Securities Industry Registration or Transfer (1)
•Form U5 Uniform Termination Notice for Securities Industry Registration General Instructions (1)
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•000000044065 (1)
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Title:  

Facts About Con Artists / Realidades De Las Estafas

 
 Volume/Number:  2011 August 
 Issuing Agency:   
 Description:  Consumer protection fact sheet, in English and Spanish, for avioding con artists. 
 Date Created:  08 04 2011 
 Agency ID:  SEC 343.2 
 ISL ID:  000000044065   Original UID: 23564 FIRST WORD: Facts 
 

Title:  

Form BR Uniform Branch Office Registration Form General Instructions

 
 Volume/Number:    
 Issuing Agency:   
 Description:  The Uniform Branch Office Registration Form (Form BR) is the form used for branch office registration, notification, closing or withdrawal. Broker-dealers and investment advisers must use this form to register or notice file their branch offices in the appropriate jurisdictions and/or with SROs. These instructions apply to the filing of Form BR electronically with the Central Registration Depository ("CRD"). Filers submitting paper filings should read the Special Instructions For Paper Filers (Jurisdictions Only) in conjunction with the other instructions to the form. 
 Date Created:  08 22 2007 
 Agency ID:  Rev. Form BR 
 ISL ID:  000000044037   Original UID: 23545 FIRST WORD: Form 
 

Title:  

Form U4 Uniform Application for Securities Industry Registration or Transfer

 
 Volume/Number:  2009 May 
 Issuing Agency:   
 Description:  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. 
 Date Created:  05 12 2009 
 Agency ID:  Rev. Form U4 
 ISL ID:  000000044061   Original UID: 23557 FIRST WORD: Form 
 

Title:  

Form U5 Uniform Termination Notice for Securities Industry Registration General Instructions

 
 Volume/Number:  2009 May 
 Issuing Agency:   
 Description:  The Form U5 is the Uniform Termination Notice for Securities Industry Registration. 
 Date Created:  05 12 2009 
 Agency ID:  Rev. Form U5 
 ISL ID:  000000044036   Original UID: 23544 FIRST WORD: Form