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Arizona UNIFORM APPLICATION FOR SECURITIES INDUSTRY REGISTRATION OR...

Arizona UNIFORM APPLICATION FOR SECURITIES INDUSTRY REGISTRATION OR TRANSFER Form U4

Name: Arizona UNIFORM APPLICATION FOR SECURITIES INDUSTRY REGISTRATION OR TRANSFER Form U4
Brand: US Legal Forms
Price: 59.00 USD
Rating: 4.79 (219 reviews)

Category:

Arizona Secretary of State - Securities - Industry - Investment Adviser

State:

Arizona

Control #:

AZ-BSS-31

Format:

Instant download

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Public form

Description

UNIFORM APPLICATION FOR SECURITIES INDUSTRY REGISTRATION OR TRANSFER Form U4 Arizona UNIFORM APPLICATION FOR SECURITIES INDUSTRY REGISTRATION OR TRANSFER Form U4 is a form used by investment professionals, such as brokers, investment advisors, and securities dealers, to register or transfer their registration with the Financial Industry Regulatory Authority (FINRA) and/or the State of Arizona Securities Department. The form collects information from the applicant, such as personal and professional information, as well as other information related to their suitability for the securities' industry. The form is also used to update existing registration information. There are two types of Arizona UNIFORM APPLICATION FOR SECURITIES INDUSTRY REGISTRATION OR TRANSFER Form U4: the Initial Form U4 and the Amendment Form U4. The Initial Form is used to submit a new registration application, while the Amendment Form is used to update or amend an existing registration. Both forms must be completed accurately and completely, and all information must be verified by the applicant prior to submission.

Arizona UNIFORM APPLICATION FOR SECURITIES INDUSTRY REGISTRATION OR TRANSFER Form U4 is a form used by investment professionals, such as brokers, investment advisors, and securities dealers, to register or transfer their registration with the Financial Industry Regulatory Authority (FINRA) and/or the State of Arizona Securities Department. The form collects information from the applicant, such as personal and professional information, as well as other information related to their suitability for the securities' industry. The form is also used to update existing registration information. There are two types of Arizona UNIFORM APPLICATION FOR SECURITIES INDUSTRY REGISTRATION OR TRANSFER Form U4: the Initial Form U4 and the Amendment Form U4. The Initial Form is used to submit a new registration application, while the Amendment Form is used to update or amend an existing registration. Both forms must be completed accurately and completely, and all information must be verified by the applicant prior to submission.

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How to fill out Arizona UNIFORM APPLICATION FOR SECURITIES INDUSTRY REGISTRATION OR TRANSFER Form U4?

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FAQ

The Form U4 requires registered representatives to disclose if they have ever been ?convicted of or pled guilty or nolo contendere (?no contest?) in a domestic, foreign, or military court to any felony? or if they have been ?charged with any felony.? The Form U4 also requires the disclosure of any conviction, guilty

FINRA Rule 4530 requires firms to report specified events; quarterly statistical and summary information regarding written customer complaints; and copies of specified criminal and civil actions.

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.

The Form U4 requires residential history for the past 5 years only. Employment history for the past 10 years, legal names and any aliases used, and the date of birth are all examples of required information on Form U4.

Is there any other way to remove a bankruptcy disclosure from my Form U4? This ten-year clause is typically the only way to remove a bankruptcy or compromise from your Form U4.

Whenever there is a material change to information that should be disclosed on the Form U4, the investment adviser representative has an obligation to update promptly that information. Typically, this means filing an amended Form U4 within 30 days of the material change.

More info

The Form U4 (Uniform Application for Securities Industry Registration or Transfer) is used to establish that registration. Items 17 - 23 — Rev.Items 20 - 27 — The Form U4 is the Uniform Application for Securities Industry. Registration or Transfer. Item 9 - 520 — Financial Industry Regulatory Authority's (FINRA) Uniform Application for Securities Industry Registration or Transfer. Items 17 - 23 — If the individual seeks registration with firm(s) affiliated with the filing firm, complete the following to make a request for registration with. Form U4 Uniform Application for Securities Industry. Registration or Transfer – Completing Each Item. 1. Financial Industry Regulatory Authority's (FINRA) Uniform Application for Securities Industry Registration or Transfer. See How To Fill Out The Uniform Application For Securities Industry Registration Or Transfer Online And Print It Out For Free.

Arizona UNIFORM APPLICATION FOR SECURITIES INDUSTRY REGISTRATION OR TRANSFER Form U4

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How to fill out Arizona UNIFORM APPLICATION FOR SECURITIES INDUSTRY REGISTRATION OR TRANSFER Form U4?

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