Uniform Application for Securities Industry Registration or Transfer
E512105
The Uniform Application for Securities Industry Registration or Transfer (Form U4) is the primary regulatory form used in the United States to register or transfer the registration of individuals working in the securities industry with FINRA and other self-regulatory organizations.
All labels observed (1)
| Label | Occurrences |
|---|---|
| Uniform Application for Securities Industry Registration or Transfer canonical | 1 |
How this entity was disambiguated
This entity first appeared as the object of triple T5340645 — 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: Uniform Application for Securities Industry Registration or Transfer Context triple: [Form U4, fullName, Uniform Application for Securities Industry Registration or Transfer]
-
A.
Investment Adviser Registration Depository
The Investment Adviser Registration Depository (IARD) is an electronic filing system operated by FINRA that facilitates the registration, filing, and public disclosure of information about investment advisers in the United States.
-
B.
Regulation U
Regulation U is a U.S. Federal Reserve regulation that governs the amount of credit banks and other lenders may extend for the purpose of buying or carrying margin stock, helping to control the use of leverage in securities markets.
-
C.
International Securities Identification Numbering system
The International Securities Identification Numbering system (ISIN) is a global standard for uniquely identifying securities such as stocks and bonds to facilitate cross-border trading and settlement.
-
D.
FINRA
FINRA is a U.S. self-regulatory organization that oversees brokerage firms and exchange markets to protect investors and maintain market integrity.
-
E.
Municipal Securities Rulemaking Board
The Municipal Securities Rulemaking Board is a U.S. self-regulatory organization that writes investor-protection and market-transparency rules for the municipal bond and related securities markets.
- 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: Uniform Application for Securities Industry Registration or Transfer Target entity description: The Uniform Application for Securities Industry Registration or Transfer (Form U4) is the primary regulatory form used in the United States to register or transfer the registration of individuals working in the securities industry with FINRA and other self-regulatory organizations.
-
A.
Investment Adviser Registration Depository
The Investment Adviser Registration Depository (IARD) is an electronic filing system operated by FINRA that facilitates the registration, filing, and public disclosure of information about investment advisers in the United States.
-
B.
Regulation U
Regulation U is a U.S. Federal Reserve regulation that governs the amount of credit banks and other lenders may extend for the purpose of buying or carrying margin stock, helping to control the use of leverage in securities markets.
-
C.
International Securities Identification Numbering system
The International Securities Identification Numbering system (ISIN) is a global standard for uniquely identifying securities such as stocks and bonds to facilitate cross-border trading and settlement.
-
D.
FINRA
FINRA is a U.S. self-regulatory organization that oversees brokerage firms and exchange markets to protect investors and maintain market integrity.
-
E.
Municipal Securities Rulemaking Board
The Municipal Securities Rulemaking Board is a U.S. self-regulatory organization that writes investor-protection and market-transparency rules for the municipal bond and related securities markets.
- F. None of above. chosen
Statements (47)
| Predicate | Object |
|---|---|
| instanceOf |
regulatory form
ⓘ
securities industry registration form ⓘ |
| abbreviation | Form U4 NERFINISHED ⓘ |
| administeredBy |
FINRA
NERFINISHED
ⓘ
Financial Industry Regulatory Authority NERFINISHED ⓘ |
| alsoKnownAs | U4 form ⓘ |
| appliesTo |
individuals associated with FINRA member firms
ⓘ
individuals seeking securities licenses ⓘ |
| category | financial regulation document ⓘ |
| dataStoredIn | FINRA CRD database NERFINISHED ⓘ |
| digitalFiling | electronically submitted ⓘ |
| filedThrough |
CRD system
NERFINISHED
ⓘ
FINRA Central Registration Depository NERFINISHED ⓘ |
| governsRole |
investment adviser representative
ⓘ
principal-level securities professionals ⓘ registered representative ⓘ |
| language | English ⓘ |
| legalBasis |
FINRA rules
ⓘ
state securities laws ⓘ |
| maintainedBy | FINRA Registration and Disclosure Department NERFINISHED ⓘ |
| partOfSystem | uniform registration forms for the securities industry ⓘ |
| primaryPurpose |
register individuals with FINRA
ⓘ
register individuals with self-regulatory organizations ⓘ transfer securities industry registrations between firms ⓘ |
| regulatesDomain | securities industry ⓘ |
| relatedTo |
Form U5
NERFINISHED
ⓘ
Form U6 NERFINISHED ⓘ |
| requiredBy |
self-regulatory organizations
ⓘ
state securities regulators ⓘ |
| requiredFor |
initial registration of securities industry individuals
ⓘ
transfer of securities registrations between member firms ⓘ |
| requiresDisclosureOf |
civil judicial actions
ⓘ
criminal history ⓘ customer complaints ⓘ disciplinary history ⓘ employment history ⓘ financial events such as bankruptcies ⓘ personal identifying information ⓘ registration history ⓘ regulatory actions ⓘ |
| supportsProcess |
background checks on securities professionals
ⓘ
regulatory oversight of registered individuals ⓘ |
| usedBy |
associated persons of broker-dealers
ⓘ
broker-dealer firms ⓘ investment adviser firms ⓘ registered representatives ⓘ |
| usedInJurisdiction | United States NERFINISHED ⓘ |
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: Uniform Application for Securities Industry Registration or Transfer Description of subject: The Uniform Application for Securities Industry Registration or Transfer (Form U4) is the primary regulatory form used in the United States to register or transfer the registration of individuals working in the securities industry with FINRA and other self-regulatory organizations.
Referenced by (1)
Full triples — surface form annotated when it differs from this entity's canonical label.