Explore the critical roles of state securities regulators and the North American Securities Administrators Association (NASAA) in enforcing securities laws, registering professionals, and protecting investors. Understand their coordination with federal entities and the importance of Blue Sky Laws.
Master the essentials of Form U4 and U5 procedures for securities industry registration and termination. Learn about the purpose, requirements, and implications of these forms in the regulatory framework.
Learn the essentials of registering with FINRA member firms after passing the SIE Exam, including the importance of Form U4, sponsorship requirements, and seeking employment with broker-dealers.