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U 4\'t l.b,7LEVATIONCERTIFICATEFEDEh. L EMERGENCY K ATTENTION:Nationalist of this certificate doesrovidenotMANAGEMENTFLOOD INSURANCE awaiverofflood insurancetheO. M. B. No. 3067. 0077E/expires July

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Obtain the U-4 form from your employer or directly from FINRA's website.

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Fill out the personal information section including your name, address, social security number, and contact information.

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Disclose any previous employment and provide the dates of employment.

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Provide information about any outside business activities or financial interests you may have.

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Individuals who are looking to register as a securities professional or work in the securities industry.

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What is u 4?

U 4 is a form used to report securities transactions by high-level employees of companies.

Who is required to file u 4?

High-level employees such as officers, directors, and beneficial owners of more than 10% of a class of securities are required to file u 4.

How to fill out u 4?

U 4 can be filled out electronically through the SEC's EDGAR system or by submitting a paper form.

What is the purpose of u 4?

The purpose of u 4 is to provide transparency and accountability in securities transactions by high-level employees.

What information must be reported on u 4?

Information such as the type of security bought or sold, the date of the transaction, and the price must be reported on u 4.

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