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Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.

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  1. Rules & Guidance
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Video Guide: Completing the RSL Question on Form U4

November 22, 2024

Learn how to amend a Form U4 filing to complete the RSL Question by watching this short (2:04 minutes) video. 

Most Recent

  • Guidance
    Video Guide: Using the Non-registered Locations with RSL Status Report Template
    November 22, 2024
  • Guidance
    Video Guide: Completing the RSL Question on Form U4
    November 22, 2024
  • Guidance
    Video Guide: Amending Form BR Filings for RSL
    November 22, 2024

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