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 Web CRD) Form U-5 (Uniform Termination Notice for Securities Industry Registration) and Form U-6 (Uniform Disciplinary Action Reporting Form).
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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, each member shall establish and implement written procedures reasonably designed to verify the accuracy and completeness of the information contained in an applicant’s initial or transfer Form U4 no later than 30 calendar days after the form is filed with LTSE.

  • Such procedures shall, at a minimum, provide for a search of reasonably available public records to be conducted by the member, or a third-party service provider, to verify the accuracy and completeness of the information contained in the applicant’s Form U4.

  • If you have completed Section 5 (JURISDICTION REGISTRATION), and requested an AG registration in a jurisdiction that requires that you pass the S63 examination, an S63 examination will be automatically scheduled for you upon submission of this Form U4.

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

  • The SEC permits certain items of information required on Form MA or MA-I to be provided by reference to such required information already filed by Xxxxx Xxxxxxx in its capacity as a broker-dealer on Form BD or Form U4 or as an investment adviser on Form ADV, as applicable.

  • All signatures required on this Form U4 filing must be made in this section.A "signature" includes a manual signature or an electronically transmitted equivalent.

  • 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.

  • Information provided by Xxxxx Xxxxxxx on Form BD or Form U4 is publicly accessible through reports generated by BrokerCheck at xxxx://xxxxxxxxxxx.xxxxx.xxx, and Xxxxx Xxxxxxx’x most recent Form ADV is publicly accessible at the Investment Adviser Public Disclosure website at xxxx://xxx.xxxxxxxxxxx.xxx.xxx.

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


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).
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Related to Form U-4

  • FR means Federal Register.

  • AIFM Regulation means Commission Delegated Regulation (EU) No. 231/2013.

  • Rule 482 Statement means a document that contains the number of Securities issued, the offering price and any other items dependent upon the offering price, prepared in accordance with the provisions of Rule 482 of the 1933 Act, a copy of which shall be attached as Schedule D hereto. “Statutory Prospectus” as of any time means the prospectus relating to the Securities that is included in the Registration Statement immediately prior to that time, including any document incorporated by reference therein. Each preliminary prospectus and the prospectus filed as part of the effective Registration Statement or as part of any amendment thereto, or filed pursuant to Rule 497 under the 1933 Act, complied when so filed in all material respects with the Rules and Regulations and each preliminary prospectus and the Prospectus delivered to the Underwriters for use in connection with this offering was identical to the electronically transmitted copies thereof filed with the Commission pursuant to XXXXX, except to the extent permitted by Regulation S-T. If a Rule 462(b) Registration Statement is required in connection with the offering and sale of the Securities, the Fund has complied or will comply with the requirements of Rule 111 under the 1933 Act Rules and Regulations and Rule 3a of the Commission’s Internal and Other Procedures (“Rule 3a”) relating to the payment of filing fees thereof. The Fund, subject to the Registration Statement having been declared effective and the filing of the Prospectus under Rule 497, has taken all required action under the 1933 Act, the 1940 Act, the Securities and Exchange Act of 1934, as amended (the “1934 Act”) and the Rules and Regulations to make the public offering and consummate the sale of the Securities as contemplated by this Agreement.

  • 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.

  • FRB Regulation D means Regulation D as promulgated by the Board of Governors of the Federal Reserve System, 12 CFR Part 204, as amended.

  • 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.

  • Market Regulation Department means all Exchange Officials and/or agents of the Exchange that assist the Exchange in the implementation, surveillance and enforcement of the Exchange Rules and other Obligations.

  • Form 10-K Certification As defined in Section 4.03(e).

  • 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.

  • Form 4224 means Form 4224 (Exemption from Withholding of Tax on Income Effectively Connected with the Conduct of a Trade or Business in the United States) of the Department of the Treasury of the United States of America (or in relation to either such Form such successor and related forms as may from time to time be adopted by the relevant taxing authorities of the United States of America to document a claim to which such Form relates).

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

  • the 1997 Regulations means the Zebra, Pelican and Puffin Pedestrian Crossing Regulations 1997.

  • the 2010 Regulations means the Occupational and Personal Pension Schemes (Automatic Enrolment) Regulations 2010;

  • 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).

  • United States Tax Compliance Certificate has the meaning specified in Section 3.01.

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

  • CREFC® Reconciliation of Funds Report A monthly report substantially in the form of, and containing the information called for in, the downloadable form of the “Reconciliation of Funds Report” available as of the Closing Date on the CREFC® Website or in such other form for the presentation of such information and containing such additional information as may from time to time be recommended by the CREFC® for commercial mortgage-backed securities transactions generally; provided that, to the extent that such other form contemplates such additional information, such other form must be reasonably acceptable to the Certificate Administrator.

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

  • CREFC® Reconciliation of Funds Template A report substantially in the form of, and containing the information called for in, the downloadable form of the “Reconciliation of Funds Template” available as of the Closing Date on the CREFC® Website, or such other form for the presentation of such information and containing such additional information as may from time to time be approved by the CREFC® for commercial mortgage securities transactions generally.