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Rev. Form U4 (05/2009)
UNIFORM APPLICATION FOR SECURITIES INDUSTRY REGISTRATION OR TRANSFER
INDIVIDUAL NAME:
INDIVIDUAL CRD #:
FIRM NAME:
FIRM CRD #:
U4 REGULATORY ACTION DRP
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What is rev form u4 05?
Rev form U4-05 is a form used by the Financial Industry Regulatory Authority (FINRA) to register individuals as investment adviser representatives.
Who is required to file rev form u4 05?
Individuals who are seeking to become investment adviser representatives are required to file rev form U4-05.
How to fill out rev form u4 05?
Rev form U4-05 can be filled out online through the FINRA's Central Registration Depository (CRD) system.
What is the purpose of rev form u4 05?
The purpose of rev form U4-05 is to provide important information about individuals seeking registration as investment adviser representatives, including their employment history, qualifications, and any regulatory actions.
What information must be reported on rev form u4 05?
Information that must be reported on rev form U4-05 includes personal information, employment history, regulatory disclosures, and any criminal history.
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