Overview
This course provides important reminders regarding the obligations that individuals have with Form U4 throughout different phases of their careers and proactive steps they can take to meet this obligation.
Learning Objectives
- remind learners of the purpose of the Form U4; the obligations that individuals have regarding the Form U4, and the role that the Financial Professional Gateway system (FinPro), can play in facilitating them; and
- emphasize steps that RRs and former RRs can take to be proactive in meeting their obligations at various points in their career.
Designed For
Registered Representatives
Find this course for your license:
License or Certification
Regulator
Type