A rev. Form U4 is used by broker-dealers, investment advisors, and other issuers of securities. It is also known as a Uniform Applications for Securities Industry Registration or Transfer. To complete this form, you must first have your fingerprints on file unless you meet an exception related to that.
A Rev. Form U4 is known as a Uniform Applications for Securities Industry Registration or Transfer. This form is used by broker-dealers, investment advisors, and issuers of securities in order to become registered. The form can be mailed to the appropriate agency or it can be filed online.
This form will require personal information, such as full name, address, and social security number. The employment address is also needed. The second section of this form will involve fingerprinting. You will need to have your fingerprints on file before you can complete this form. In some cases, you can get an exception to the fingerprinting process. You will need to include your exception proof with this document in order for it to be recognized.
The Form U4 must be amended within 10 days of learning of a statutory disqualifying event. For all other types of amendments, the Form U4 should generally be updated no later than 30 days after leaving of facts or circumstances that prompt an update.
To complete a Form U4, you will need to provide the following information:
To submit an update:
