ACN / Form U-4 & U-5 v 3.3
(Dated August, 2003)

ACN / Form U-4 & U-5 software program allows broker-dealers to save, store and amend their SEC registration material as a word-processing document. 

Form U-4 and U-5 are formatted for Web CRD and available as a single program.  Form U-4 and U-5 are used both by broker-dealers and investment adviser representative registrations.

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

ACN / Form U-4 & U-5 software makes it easy for you to build and maintain an historical profile of your SEC/NASD/IARD registrations; amend the report in an efficient and productive manner; and 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.

Key Benefits

• Software format facilitates the ease of completing and maintaining your NASD/SEC/IARD registration forms.

• Word-processing format enables you to locate, complete and amend forms and schedules in an efficient manner.

• Reference document for administration and/or compliance guidelines.

• Distribute or share the form/information electronically.

NASD amended the Form U-4 & U-5 as of 
August, 2003.  

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