For Broker Dealers

  • Detailed Professional Profile Featuring Your Firm
  • Comprehensive Written Supervisory Procedures
  • Anti Money Laundering Procedures (AMLs)
  • Business Continuity Planning (BCPs)
  • Compliance Forms Used in Day-to-day Operations
  • Easy Access to Local, State and Federal Regulators
  • Regulatory Updates including new Rules and Regulations
  • Updates on Enforcement Actions and Resolutions
  • Events Calendar Showing What Events are Coming up that Members Should Be Aware of
  • Access to Member only Networking Events

For Brokers & Investment Advisors

  • Detailed Professional Profile Featuring You and Your Business
  • Regulatory Updates including new Rules and Regulations
  • Updates on Enforcement Actions and Resolutions
  • Events Calendar Showing What Events are Coming up that Members should be aware of
  • Access to Member only Networking Events
Welcome to UFIA
You are just one step away from activating your membership and you can begin enjoying the benefits of being a part of UFIA.
By clicking join now, you agree to our Terms of Service
For Brokers Dealers
  • Detailed Professional Profile Featuring Your Firm
  • Comprehensive Written Supervisory Procedures
  • Anti Money Laundering Procedures (AMLs)
  • Business Continuity Planning (BCPs)
  • More
For Brokers & Investment Advisors
  • Detailed Professional Profile Featuring You and Your Business
  • Regulatory Updates including new Rules and Regulations
  • Updates on Enforcement Actions and Resolutions
  • More
BILLING INFORMATION

TERMS OF SERVICE (TOS)

Members (Members being defined as those who have registered with UFIA in any capacity) of the UFIA.org website may utilize the services as outlined in this TOS. The United Financial Industry Association, Inc. also referred to as UFIA and any of its owners, subsidiaries, affiliates, officers, directors, personnel, etc. shall not be liable in any manner or form for any reason related to the use of it services. UFIA takes no responsibility for the content listed by users and users should not utilize any documents nor construe any advice received by UFIA as legal advice nor rely on any documents or advice that are presented by UFIA as compliance with any rule or regulation. At all times Members should consult their regulator, attorney, accountant and other advisors before utilizing any documents or acting on any advice rendered by UFIA, its officers, directors, owners, affiliates, personnel etc.

As a Member, registered, authorized or unauthorized users (including Members' invitees and all other persons with access to user's passwords) (collectively, "Users") of UFIA's website services (including, but not limited to, user profile pages), you voluntarily, expressly and knowingly hereby agree that these Terms of Service apply to your access (and anyone permitted access by you) and use of UFIA's services, and that you are bound by them. If you do not agree, you must not use or permit others to use UFIA's services.

DISCOUNTS

From time to time UFIA may offer promotional codes for discounts to its Members and services. Such promotional codes will be honored as one time use codes. Upon renewal the membership and services will be billed at the then standard rate. You may at any time prior to the renewal cancel the membership and services and no new charges will be applied. If you cancel your membership prior to your membership term's expiration date then your membership will continue until that date at which time it will expire if it is not renewed. Partial refunds will not be issued.

EMAIL FROM UFIA

UFIA may send email to you in the course of your membership informing you of various updates to the system or other events or information from UFIA.

DATA AND SYSTEM SECURITY

Members shall create and at all times maintain a data and system security program with comprehensive measures, policies, controls and practices ("Security Measures") that are necessary to prevent unauthorized or improper access to or use of data and information (or other content) in UFIA's database (including, but not limited to, Members' user identification codes and passwords). Members' user identification codes and passwords are related to specific individuals; therefore the Member must be diligent in his or her application and enforcement of the Security Measures. The Member may not use or permit any other party to use any hardware or software for access to UFIA's services which causes damage to or loss of UFIA services, systems, networks, communications or software.

OPERATION AND USE

Members may utilize the UFIA.org website and its profile pages, compliance features, industry calendars and other services that UFIA may from time to time update, change, modify or cancel at its sole discretion. UFIA reserves the right to disallow or cancel an existing user name or profile name at anytime at its sole discretion. Once you become a Member of UFIA, UFIA reserves the right to cancel such Membership at anytime without a refund. Should you wish to cancel your Membership, you may do so at anytime and UFIA will not be obligated to refund any portion of your Membership fee whatsoever. Members may utilize all of the features and services (as applicable to their account type) for their own use. No services that are offered including but not limited to: Written Supervisory Procedures, Anti Money Laundering Procedures, Business Continuity Plans, Forms, Profiles or any other services that are provided by UFIA may be used for commercial purposes other than those described in this TOS.

LIABILITY FOR CHARGES/NETWORK DAMAGE

By using, allowing others to use, or failing to prevent unauthorized use of its UFIA services access rights, the Member hereby agrees to be responsible for, and shall hold UFIA and its owners, subsidiaries and affiliates harmless from, (1) all charges, fees, duties, taxes and assessments applicable (from time to time) to the Member's access to or use of UFIA services and (2) any damages to any communications networks or services (whether common carrier or private networks or services) caused by the Member's access to or use of UFIA.org services, in each case where access or use by a Member occurs through use of the Member's identification codes, passwords, authorizations, permits, facilities, software, hardware, media, arrangements, or agreements.

PRIVACY POLICY

UFIA does not share any private non public information with any third party. UFIA does not sell or allow access to your private, non public information to anyone other than those authorized by UFIA for legitimate business purposes. Your information may be shared with UFIA affiliates in the course of UFIA's ordinary business operations and to serve your account.

PROTECTED PROPERTY

The "UFIA" name, logo, services, associated software, databases, forms, manuals, data created using UFIA's services, trademarks, copyrights, service marks, patents, mask marks, moral rights and trade secrets are proprietary to and are the property (the "Protected Property") of UFIA and its owners, subsidiaries and affiliates. Except as otherwise set forth in the TOS or as expressly permitted by UFIA, the Protected Property may not be used (as a basis for any software development or otherwise), commercially exploited, copied, redistributed, retransmitted, published, sold, rented, leased, marketed, sublicensed, pledged, assigned, disposed of, encumbered, transferred, reverse-engineered, assembled, decompiled, disassembled, or otherwise altered, modified or enhanced, whether in whole or part. UFIA, its owners, subsidiaries or its affiliates reserve all rights not expressly granted herein.

DISCLAIMER OF WARRANTY

The User (including Members) agrees that your access to or use of any part of UFIA's services, Protected Property, associated databases, and other data and information accessible therewith or therefrom are provided on an "AS IS" BASIS, AND UFIA EXPRESSLY DISCLAIMS ANY WARRANTIES OF ANY KIND, INCLUDING BUT NOT LIMITED TO, WARRANTIES OF MERCHANTABILITY, FITNESS FOR A PARTICULAR USE OR PURPOSE, DESIGN, ACCURACY, CAPABILITY, SUFFICIENCY, SUITABILITY, CAPACITY, COMPLETENESS OR AVAILABILITY. You also agree that UFIA, its suppliers, licensors, employees, agents and other information content providers do not represent that UFIA services will be uninterrupted, without omissions or error free. Neither UFIA or anyone else involved in creating, producing or delivering UFIA services shall be liable for any direct, indirect, incidental, special or consequential damages arising out of the use or inability to use UFIA.org services.

LIMITATION OF LIABILITY

UFIA, its owners, officers, directors, personnel, affiliates etc. shall not be liable in any manner for the content provided by its Members and listed on public or private pages on its website nor on any site that utilizes the UFIA logo or other identifying symbol. Additionally, no liability shall occur by the use of any information provided to the Member. System failures may occur or Members information may be delayed and Member shall not have any rights to be deemed violated through such occurrence.

RESERVATION OF RIGHTS

You understand and agree that UFIA may, in its sole judgment, at any time and from time to time, modify, restrict or terminate UFIA's services or your access to UFIA services, without any liability or notice, which modification, restriction or termination may be exercised without refund of any paid-up Membership or license fees. The use of UFIA services under the Members' identification codes and passwords will constitute your agreement not to infringe upon, or permit any of your authorized Users to infringe upon any Protected Property or Protected Property rights.