Form U-4 / U-5

The ACN FORM U-4 & U-5 is formatted for WEB CRD and available as a single software program. 

The ACN solution is for Registered Investment Advisors and Broker-Dealers to easily save, store and amend their SEC representative registration material as a word-processing document.

Completing and maintaining your SEC/NASD registration as a Registered Investment Advisor or Broker-Dealer is an important function for any investment firm. The process of collecting, filling out and updating this form is often time-consuming, frustrating and cumbersome. We offer you the solution.

ACN FORM U-4 & U-5 templates makes it easy for you and your associates to: (1) Collect this information offline; (2) Build and maintain a historical profile of your SEC/NASD/IARD registrations; (3) Amend the report in an efficient and productive manner; (4) Share the report with applicants and firm associaties.

The software includes the latest version of Form U-4 and U-5, all instructions, interpretations, forms and schedules the SEC provides to and requires completion by existing and prospective broker-dealers.

 

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