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Form U4 Instructions - FINRA

Rev. form U4 (05/2009) form U4 Uniform Application for Securities Industry registration or Transfer GENERAL Instructions 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. These Instructions apply to the filing of form U4 electronically with the Central registration Depository ("CRD ") or the Investment Adviser registration Depository ("IARDSM"). Filers submitting paper filings should read the Special Instructions for Paper Filers in conjunction with the other Instructions to the form .

Registration or Transfer. GENERAL INSTRUCTIONS. 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. These instructions apply to the filing of ...

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