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FINRA Form U-6

Book Publication Date: Jun 2013
Description: Form U-6 is FINRA's uniform disciplinary action reporting form. Form U-6 is used only by securities regulators and self-regulatory organizations (SROs) to report disciplinary actions against registered broker-dealers. This reporting is in addition to any amendents required to be made by a broker-dealer to its Form U-4 or Form U-5 filings.
Type: Other Document Templates
PLI Item #: 57880
Practice Area: Broker-dealers, Securities and other financial products

Official ID: Rev. Form U6 (05/2009)
Keywords: FINRA; "broker-dealer"; reporting; "securities regulator'; "self-regulatory organization"; SRO; "financial industry regulatory authority"; "uniform disciplinary action reporting form"

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