Regulatory Form Amendments
NCCI assists in the preparation and filing of various amendments.
The SEC, FINRA and state jurisdictions require you to keep documents related to your securities business (e.g. Form BD, U-4, U-5 and related Disclosure Reporting Pages, the FINRA Contact System, etc.) accurate and current at all times.
These forms are affected by changes in:
- Telephone numbers
- Executive representative
- Board of directors
- Clearing firms
- Service bureaus
- Products handled by the firms
- Business expansions or contraction
- Outside employment
- Regulatory actions
- State administrative actions
- Civil actions
- Customer complaints
Current, complete and accurate forms are an absolute NECESSITY when applying for registrations in additional states, or in discussions with clearing firms, and during on-site evaluations by regulatory authorities.
NCCI can assist in these activities by verifying the completion and compliance of the respective form itself — comparing the current corporate information to the information regulators have — and can assist in completing any necessary amendments to ensure the accuracy of the forms and timely revisions.