2003 Form 4U-2026

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A broker-dealer must file a Form U4 as soon as an individual joins the firm. A securities broker cant transact securities without first registering with FINRA and an associated firm using the Form U4.
The Series 4 exam grants license to those who pass to supervise options sales and trading personnel. The test is sponsored by FINRA and covers both substantive knowledge about options trading as well as topics on compliance and ethics.
This term is defined in the Form U4 instructions as any conduct directed at or involving a customer that would violate Self-Regulatory Organization (SRO) rules, any provision of the Securities Exchange Act of 1934, or any state statute prohibiting fraudulent conduct in connection with securities offers, sales,
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