Form U-4 definition

Form U-4 means Uniform Application for Securities Industry Registration or Transfer. “Form U-5” means Uniform Termination Notice for Securities Industry Registration. “Form U-6” means Uniform Disciplinary Action Reporting Form.
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Form U-4 means the Uniform Application for Securities Industry Registration or Transfer, published by FINRA and available athttp://www.finra.org/industry/compliance/registration/crd/filing- guidance/p005235
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Form U-4 means the Uniform Application for Securities Industry Registration or Transfer (as published for filing through
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Examples of Form U-4 in a sentence

  • The Chief Compliance Officer may approve such activity, only after applicable licensing requirements have been met and appropriate disclosures have been made in Parts 1, 2A and 2B of Form ADV and the individual’s Form U-4.

  • In addition, if applicable, the CD will ensure that a registered representative’s Form U-4 is updated with FINRA.

  • In addition, if applicable, the CD will ensure that a registered representative’s Form U4 is updated with the FINRA.

  • Such outside business activity may require an update to the Registered Representative’s Form U-4.

  • This information will be reported to MDI and may require an update to the Registered Representative’s Form U-4.

  • For those Employees with Securities Licenses: I have contacted Compliance with any changes to information that would require a Form U4 amendment, including a change of address, name change, addition of any new, or the discontinuance of any previously reported outside business activity, and any occurrence or matter which would change my answer to a disclosure question (e.g., arrests and other criminal or civil matters, regulatory events, tax liens and bankruptcies).

  • Notwithstanding anything to the contrary contained in any other document or agreement requiring arbitration, including, but not limited to, Form U-4, signed by any Party, the Parties agree that if the matter in controversy is, in whole or in part, a Dispute, then the provisions of this Article shall control such arbitration.

  • In addition, if applicable, the Compliance Department will ensure that a registered representative’s Form U-4 is updated with the NASD.

  • In addition, in connection with any approval of an outside activity, such approval may, at the discretion of the CCO, be subject to certain conditions deemed necessary or appropriate to protect the interests of the Company or any Client.In addition, to the extent that the Company files a Form U-4 for an Employee seeking to engage in an outside business activity, the Form U-4 will need to be updated to reflect the activity.

  • Outside business activity disclosures and decisions by the CCO will be maintained in an appropriate file and disclosed on Form U4, if applicable.


More Definitions of Form U-4

Form U-4 means the Uniform Application for Securities Industry Registration or Transfer (as published for filing through Web CRD) Form U-5 (Uniform Termination Notice for Securities Industry Registration) and Form U-6 (Uniform Disciplinary Action Reporting Form).
Sample 1
Form U-4 means the Uniform Application for Securities Industry Registration or Transfer (as published for filing throughWeb CRD) Form U-5 (Uniform Termination Notice for Securities Industry Registration) and Form U-6 (Uniform Disciplinary Action Reporting Form).
Sample 1

Related to Form U-4

  • FR means the Federal Register.

  • Rule 144A Letter As defined in Section 5.02(b).

  • Form 2106 means internal revenue service form 2106 filed by a taxpayer pursuant to the Internal Revenue Code.

  • Regulations D, T, U and X” means, respectively, Regulations D, T, U and X of the Board of Governors of the Federal Reserve System (or any successor), as the same may be modified and supplemented and in effect from time to time.

  • EEA State means a State which is a Contracting Party to the EEA Agreement;

  • EEA Regulations means the Immigration (European Economic Area) Regulations 2006.

  • Regulations T, U and X” means Regulations T, U and X, respectively, of the Federal Reserve Board, and any successor regulations.

  • Regulation CF means Regulation Crowdfunding promulgated under the Securities Act.

  • Staff Governor means an employee of the Academy Trust who may be appointed as a Governor pursuant to Article 50A;

  • 1940 Act Notification means a notification of registration of the Fund as an investment company under the 1940 Act on Form N-8A, as the 1940 Act Notification may be amended from time to time.

  • Council of Governors means the council of governors of the corporation; “declaration of identity” has the meaning set out in rule 21.1;

  • the 2001 Regulations means the Water Supply (Water Quality) Regulations 2001[63];

  • Daily Report has the meaning set forth in Section 8.9(a).

  • the 1998 Act (“Deddf 1998”) means the Teaching and Higher Education Act 1998;

  • the 2007 Regulations means the Civil Enforcement of Parking Contraventions (England) General Regulations 2007;

  • 1940 Act Rules and Regulations means the rules and regulations of the Commission under the 1940 Act.

  • Regulation A means Regulation A of the Federal Reserve Board as in effect from time to time.

  • the 1992 Act means the Local Government Finance Act 1992;