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.
Sample 1Sample 2Sample 3
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
Sample 1
Form U-4 means the Uniform Application for Securities Industry Registration or Transfer, published by FINRA and
Sample 1

More Definitions of Form U-4

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
Form U-4 means Uniform Application for Securities Industry Registration or Transfer.
Sample 1
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

Related to Form U-4

  • the 1998 Act means the School Standards and Framework Act 1998;

Most Referenced Clauses

Most Referenced Definitions