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Entitled system users at broker-dealer and investment adviser firms can file Form U4 electronically to fulfill securities registration and licensing requirements for registered representatives and investment adviser representatives. Learn more about registering a new candidate.
Rev. Form U4 (05/2009) UNIFORM APPLICATION FOR SECURITIES INDUSTRY REGISTRATION OR TRANSFER. 2. FINGERPRINT INFORMATION. Electronic Filing Representation. By selecting this option, I represent that I am submitting, have submitted, or promptly will submit to the appropriate SRO.
The Form U4 is the Uniform Application for Securities Industry Registration or Transfer. Representatives of broker-dealers, investment advisers, or issuers of securities must use this form to become registered in the appropriate jurisdictions and/or SROs.
Form U4 is the Uniform Application for Securities Industry Registration or Transfer. Representatives of broker-dealers, investment advisers, or issuers of securities must fill out the Form U4 to become registered in the appropriate jurisdictions and/or SROs.
The Form U4 is the Uniform Application for Securities Industry Registration or Transfer. Individuals seeking to register as an investment adviser representative (“IAR”) of a registered investment advisor firm typically must use this form to become registered with a state securities regulator.
The Form U4 is the Uniform Application for Securities Industry Registration or Transfer. Representatives of broker-dealers, investment advisers, or issuers of securities must use this form to become registered in the appropriate jurisdictions and/or SROs.
NASAA’s Uniform Forms library contains 17 common forms for use by broker-dealers, investment advisers and securities issuers.
Form U4 in FinPro. FinPro now offers two optional features that permit users to collaborate with their firms on a draft Form U4: Allow Rep Edits grants individuals the ability to review and modify a draft, and. the E-Signature feature offers reps the option to sign a completed form electronically rather than with a pen.
Key details of what’s on Form U4, common missteps that may trip up IARs, and best practices for preparing and filing Form U4 with state and Federal regulators.
The Form U4 is the Uniform Application for Securities Industry Registration or Transfer. Representatives of broker-dealers, investment advisers, or issuers of securities must use this form to become registered in the appropriate jurisdictions and/or SROs.