U4 2025

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The document is the Uniform Application for Securities Industry Registration or Transfer (Form U4), which is used by individuals seeking registration in the securities industry. It includes sections for general information, fingerprint information, registration requests with affiliated and unaffiliated firms, examination requests, professional designations, identifying information, residential and employment history, disclosure questions regarding criminal and regulatory actions, and termination details. The form requires detailed personal and employment information to assess eligibility for registration in various jurisdictions and self-regulatory organizations.

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Versions	Form popularity	Fillable & printable
2009	4.9 Satisfied (402 Votes)

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What is a U4 for?

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.

What must be disclosed on a U4 form by an individual applying for registration with a member firm?

The Form U4 requires residential history for the past 5 years only. Employment history for the past 10 years, legal names and any aliases used, and the date of birth are all examples of required information on Form U4.

What disqualifies you on a U4?

WHAT DISQUALIFIES YOU ON A U4? Any violations of securities or financial-related laws or regulations will disqualify a person on a U4. Additionally, all Felony convictions and certain misdemeanor offenses involving fraudulent pretenses within the previous 10 years are disqualifications.

What needs to be reported on a U4?

Form U4 requires full disclosure of the applicants regulatory and disciplinary history. This includes criminal charges, financial issues such as bankruptcies or liens, civil litigation, and prior regulatory actions or fines.

Do tax liens need to be reported on U4?

The Form U4 plainly requires disclosure of any unsatisfied judgments or liens and further requires the filing of a DRP that discloses the lien amount, lien holder, and lien type.

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U4 0.5 mg Tablet consists of Flupentixol Melitracen. This is used to treat in Anxiety, Depression, Apathym, Psychogenic depression, Depressive neurosses, Masked depression, Menopausal depressions.

What must be reported to FINRA?

FINRA Rule 4530 requires firms to report specified events; quarterly statistical and summary information regarding written customer complaints; and copies of specified criminal and civil actions.

U4 2025

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Got questions?

What is a U4 for?

What must be disclosed on a U4 form by an individual applying for registration with a member firm?

What disqualifies you on a U4?

What needs to be reported on a U4?

Do tax liens need to be reported on U4?

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What must be reported to FINRA?

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