Product Description
RIA Compliance consultants hosted a webinar, "Solutions and Answers to Form U4 and Form U5 Challenges," on Thursday, August 23, 2012 from 12:00 p.m. to 1:00 p.m. Central.
During this webinar RIA Compliance Consultant reviews the Form U4-Uniform Application for Securities Industry Registration or Transfer and the Form U5-Uniform Termination Notice for Securities Industry Registration. This presentation includes an overview of the information that is required to be submitted via the Form U4 and the Form U5 and a review of triggering events for submission of those forms. Additionally, our consultants provide discussion of the disclosure questions and corresponding Disclosure Reporting Pages (DRPs) and an explanation of the Investment Adviser Public Disclosure (IAPD) website.