Form U4 | Practical Law
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Form U4
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Form U4
Practical Law Glossary Item 9-520-0749
(Approx. 3 pages)
Glossary
Form U4
Also known as the
Financial Industry Regulatory Authority's
(FINRA) Uniform Application for Securities Industry Registration or Transfer. A form used by
broker-dealers
to register
associated persons
with FINRA and in other applicable jurisdictions and
self-regulatory organizations
. The information on the form is filed with
Central Registration Depository
, FINRA's central licensing and registration system.
FINRA Rule 1010(c)
contains the Form U4 filing requirements. The
form
can be found on the FINRA website along with
instructions
for completing it.