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What is a Concurrence Filing?

April 26, 2017concurrence filing

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What is a Concurrence Filing?

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A Concurrence Filing is a type of filing that allows a firm to submit a Form U-4 Amendment concurring with, and thereby adopting, Form U-4 changes submitted by another firm that employs the same individual.

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Posted

A Concurrence Filing is a type of filing that allows a firm to submit a Form U4 Amendment concurring with, and thereby adopting, Form U4 changes submitted by another firm that employs the same individual.