What is Form U4?

Form U4 is the Uniform Application for Securities Industry Registration or Transfer.  Any individual that wishes to register with a broker-dealer or a registered investment advisor must submit the application to become registered in the appropriate jurisdictions and/or SROs.  If any information changes, the individual must update the form appropriately.   Form U4 is comprised of fifteen sections.  The sections include the following:

  1. General Information
  2. Fingerprint Information
  3. Registration with Unaffiliated Firms
  4. SRO Registrations
  5. Jurisdiction Registration
  6. Registration Requests with Affiliated Firms
  7. Examination Requests
  8. Professional Designations
  9. Identifying Information/Name Change
  10. Other Names
  11. Residential History
  12. Employment History
  13. Other Business
  14. Disclosure Questions
  15. Signature
  16. 15A. Individual/Applicant
  17. 15B. Firm/Appropriate Signatory Acknowledgment
  18. 15C. Temporary Registration Acknowledgment
  19. 15D. Amendment Individual/Applicant’s Acknowledgment and Consent
  20. 15E. Firm/Appropriate Signatory Amendment Representations
  21. 15F. Firm Appropriate Signatory Concurrence

Form U4 also contains Disclosure Reporting Pages (DRPS U4) which include the following:

Criminal DRP
Regulatory Action DRP
Investigation DRP
Civil Judicial DRP
Customer Complaint/Arbitration/Civil Litigation DRP
Termination DRP
Bankruptcy/SIPC/Compromise with Creditors DRP
Bond DRP
Judgement/Lien DRP

For more information, please see Form U4 Disclosure Obligations and FINRA Rule 3110(e): Form U4 Verification Process.

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