U4 Form Instructions - Once signed, finpro notifies the firm that the draft is ready for their review and submission to regulators. The form u4 is the uniform application for securities industry registration or transfer. Pursuant to section 19(b)(1) of the securities exchange act of 1934 (“act,” “exchange. Follow the detailed instructions below to retrieve, review, sign and return a draft form u4. Notice of filing and immediate effectiveness of a proposed rule change to permit firms to file a form u4 based on an electronically signed copy of the form. The form u4 is the uniform application for securities industry registration or transfer. Financial industry regulatory authority, inc.;
Follow the detailed instructions below to retrieve, review, sign and return a draft form u4. The form u4 is the uniform application for securities industry registration or transfer. Once signed, finpro notifies the firm that the draft is ready for their review and submission to regulators. Financial industry regulatory authority, inc.; The form u4 is the uniform application for securities industry registration or transfer. Pursuant to section 19(b)(1) of the securities exchange act of 1934 (“act,” “exchange. Notice of filing and immediate effectiveness of a proposed rule change to permit firms to file a form u4 based on an electronically signed copy of the form.