The South Dakota Uniform Application for Securities Industry Registration or Transfer (U-4) is a form used by individuals who wish to register with the South Dakota Division of Securities to become a broker-dealer, investment adviser representative, or both. The form is used for both initial and renewal registrations, and it contains a variety of information about the individual, such as their name, address, education, work experience, and criminal history. The form also includes a questionnaire designed to assess the individual's knowledge of securities laws and regulations. There are two types of South Dakota U-4 forms: the initial registration form and the renewal registration form. Both forms are required for registration and must be completed and submitted to the South Dakota Division of Securities.
South Dakota Uniform Application for Securities Industry Registration or Transfer (U-4)
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How to fill out South Dakota Uniform Application For Securities Industry Registration Or Transfer (U-4)?
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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
What's disclosed on Form U4? Form U4 requires applicants to disclose bankruptcies as well as any felony convictions. Although individuals will be disqualified for felony convictions the occurred within the last 10 years, all felonies must be disclosed on Form U4 (even those that occurred more than 10 years ago).
What is a Form U4? The Form U4 is the Uniform Application for Securities Industry Registration or Transfer. Individuals seeking to register as an investment adviser representative (?IAR?) of a registered investment advisor firm typically must use this form to become registered with a state securities regulator.
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.
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.
Who Files a Form U4? FINRA-member broker-dealers are required to file Forms U4 on behalf of proposed associated persons under FINRA Rule 1013.
FINRA Rule 1240 requires registered persons to complete the Regulatory Element annually by Dec. 31 for each registration that they hold. The Regulatory Element provides training on significant rule changes and other regulatory developments relevant to each registration category.
Marital status and vacation home address are not items of information on Form U-4.