Jul 16, · Listen to employees tell FINRA's story. Baby Elephant rescued viewed with Alan Tours while on Safari at the Addo Elephant National Park. MI Department of Licensing and Regulatory Affairs - Non-FINRA and Issuer Securities Agents: Once Registered. Amendments: Any amendments to the Form U-4 should be sent directly to the address below.; Renewals: A renewal notice is mailed annually in November. 2 filed with the Securities and Exchange Commission (Commission) a proposal to amend FINRA Rules and to require FINRA members to include on their Order Audit Trail System (OATS) reports the identity of broker -dealers that are not FINRA member s when the member receives an order from such a broker -dealer.
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