Form U4
E123935
Form U4 is the uniform registration form used by broker-dealer and investment adviser representatives in the United States to apply for and update their licensing and disclosure information with regulators.
All labels observed (1)
| Label | Occurrences |
|---|---|
| Form U4 canonical | 2 |
How this entity was disambiguated
This entity first appeared as the object of triple T1064496 — resolving that mention is where its identity was fixed. The disambiguator weighed these candidate entities and picked the highlighted one (or “None”, minting a new entity). This is how homonymy is resolved: the same surface form can point to different entities.
NED1
Entity disambiguation (via context triple)
gpt-5-mini-2025-08-07
Target entity: Form U4 Context triple: [Central Registration Depository, dataModelIncludes, Form U4]
-
A.
Form D
Form D is a notice filing with the U.S. Securities and Exchange Commission that companies use to report certain exempt securities offerings, typically under Regulation D.
-
B.
Form 941
Form 941 is a quarterly IRS tax return that employers use to report wages paid, income tax withheld, and Social Security and Medicare payroll taxes.
-
C.
FATCA Form 8938
FATCA Form 8938 is an IRS tax form used by certain U.S. taxpayers to report specified foreign financial assets under the Foreign Account Tax Compliance Act.
-
D.
Fourth Party
The Fourth Party was a small but influential faction of late 19th-century British Conservative MPs, led by Lord Randolph Churchill, known for its aggressive opposition tactics and role in reshaping Tory politics.
-
E.
S-4
S-4 is an International Hydrographic Organization standard that provides specifications and guidance for the content, symbology, and production of nautical charts.
- F. None of above. chosen
- G. Unsure - the case is ambiguous/there is not enough information to decide.
NED2
Entity disambiguation (via description)
gpt-5-mini-2025-08-07
Target entity: Form U4 Target entity description: Form U4 is the uniform registration form used by broker-dealer and investment adviser representatives in the United States to apply for and update their licensing and disclosure information with regulators.
-
A.
Form D
Form D is a notice filing with the U.S. Securities and Exchange Commission that companies use to report certain exempt securities offerings, typically under Regulation D.
-
B.
Form 941
Form 941 is a quarterly IRS tax return that employers use to report wages paid, income tax withheld, and Social Security and Medicare payroll taxes.
-
C.
FATCA Form 8938
FATCA Form 8938 is an IRS tax form used by certain U.S. taxpayers to report specified foreign financial assets under the Foreign Account Tax Compliance Act.
-
D.
Fourth Party
The Fourth Party was a small but influential faction of late 19th-century British Conservative MPs, led by Lord Randolph Churchill, known for its aggressive opposition tactics and role in reshaping Tory politics.
-
E.
S-4
S-4 is an International Hydrographic Organization standard that provides specifications and guidance for the content, symbology, and production of nautical charts.
- F. None of above. chosen
Statements (54)
| Predicate | Object |
|---|---|
| instanceOf |
securities industry regulatory form
ⓘ
uniform registration form ⓘ |
| administeredThrough |
Central Registration Depository
ⓘ
FINRA ⓘ Investment Adviser Registration Depository ⓘ |
| appliesTo |
broker-dealer representatives
ⓘ
investment adviser representatives ⓘ registered representatives ⓘ |
| containsSection |
disclosure questions section
ⓘ
employment history section ⓘ identifying information section ⓘ other business activities section ⓘ registration jurisdictions section ⓘ signatures and consents section ⓘ |
| filedBy |
broker-dealer firms
ⓘ
investment adviser firms ⓘ |
| filedOnBehalfOf |
associated persons
ⓘ
investment adviser representatives ⓘ registered representatives ⓘ |
| fullName | Uniform Application for Securities Industry Registration or Transfer ⓘ |
| governingBody |
Financial Industry Regulatory Authority
ⓘ
Securities and Exchange Commission ⓘ
surface form:
U.S. Securities and Exchange Commission
state securities regulators ⓘ |
| legalBasis |
FINRA Code of Arbitration Procedure
ⓘ
surface form:
FINRA rules
federal securities laws ⓘ state securities laws ⓘ |
| purpose |
facilitate regulatory oversight of associated persons
ⓘ
provide public disclosure through BrokerCheck and IAPD ⓘ standardize registration information across jurisdictions ⓘ |
| regulatesActivity | securities industry registration ⓘ |
| requires |
civil judicial disclosure
ⓘ
criminal disclosure ⓘ disciplinary history ⓘ employment history ⓘ examination information ⓘ financial disclosure ⓘ personal identifying information ⓘ professional designations ⓘ regulatory disclosure ⓘ residential history ⓘ |
| requiresUpdate |
upon changes in employment
ⓘ
upon changes in personal or disclosure information ⓘ upon new disciplinary events ⓘ |
| submissionMethod | electronic filing ⓘ |
| submissionSystem |
IARD
ⓘ
Web CRD ⓘ |
| usedFor |
amendment of registration
ⓘ
initial registration ⓘ licensing applications ⓘ self-regulatory organization registration ⓘ state securities registration ⓘ transfer of registration ⓘ updating disclosure information ⓘ |
| usedInJurisdiction |
United States of America
ⓘ
surface form:
United States
|
How these facts were elicited
The pipeline generated the facts above by prompting gpt-5.1 with this entity's name + description and the instruction below.
Instruction
You are a knowledge base construction expert. Given a subject entity and a description of it, return factual statements that you know for the subject as a JSON list of dictionaries(triples), where keys must be "subject", "predicate" and "object". The number of facts may be very high, between 25 to 50 or more, for very popular subjects. For less popular subjects, the number of facts can be very low, like 5 or 10. # Requirements - If you don't know the subject at all, return an empty list. - If the subject is not a named entity, return an empty list. - Include at least one triple where predicate is "instanceOf". - Do not get too wordy. - Separate several objects into multiple triples with one object.
Input
Subject: Form U4 Description of subject: Form U4 is the uniform registration form used by broker-dealer and investment adviser representatives in the United States to apply for and update their licensing and disclosure information with regulators.
Referenced by (2)
Full triples — surface form annotated when it differs from this entity's canonical label.