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Pursuant to FINRA By-Laws, individuals continue to be subject to the jurisdiction of FINRA for at least two years after their last FINRA registration is terminated.As such, former registered representatives are required to report residential address changes to FINRA for two years following their termination date or last Form U5 amendment.

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We expect that 2015 will be the year for significant U4 reporting actions against firms.This page will be updated with the new design soon. Please tell us what you think about our website, we welcome your feedback.Enter a place name, street name or a postcode to zoom to a location in Wiltshire.The amendments, among other things, include the addition of six new regulatory action disclosure questions (14C (6), (7) and (8) and 14E (5), (6) and (7)) that enables FINRA and other regulators to identify more readily persons subject to a particular category of statutory disqualification under the federal securities laws and the FINRA By-Laws.The revised Forms were implemented in Web CRD on May 18, 2009.

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