Triple
T5340645
| Position | Surface form | Disambiguated ID | Type / Status |
|---|---|---|---|
| Subject | Form U4 |
E123935
|
entity |
| Predicate | fullName |
P16
|
FINISHED |
| Object |
Uniform Application for Securities Industry Registration or Transfer
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.
|
E512105
|
NE FINISHED |
How this triple was built (4 steps)
Every LLM step that produced this triple, in pipeline order — named-entity classification, the disambiguation choices (the exact options shown, with the pick highlighted), and the generated description. The batch + timestamp of each is in the Provenance table below.
NER
Named-entity recognition
gpt-5-mini
Instruction
Given a phrase, classify it is english named entity (e.g., persons, organizations, works of art) in Latin script, or not (e.g., literals, dates, URLs, verbose phrases). For disambiguation, the statement where the phrase occurs as object is also given. Please return a JSON object with `phrase` (string, the phrase being analyzed) and `is_ne` (boolean, indicating whether the phrase is a Named Entity).
Input
Phrase: Uniform Application for Securities Industry Registration or Transfer | Statement: [Form U4, fullName, Uniform Application for Securities Industry Registration or Transfer]
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.
NEDg
Description generation
gpt-5.1
Instruction
Generate a one-sentence description of the target entity. You are given a context triple in the form (subject, predicate, object), where the object is the target entity. # Instructions Use the triple to infer relevant information about the entity. Describe the entity based on what is most defining, well-known. Avoid repeating the information from the triple, unless really essential. # Response Format Return only the sentence: "Description: [one-sentence description of the target entity]"
Input
Entity: Uniform Application for Securities Industry Registration or Transfer Triple: [Form U4, fullName, Uniform Application for Securities Industry Registration or Transfer]
Generated 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.
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
Provenance (5 batches)
The batch behind each pipeline step, in order, with when it ran. Timestamps are batch-level — stages were processed in waves, so the object chain (NER → NED1 → NEDg → NED2) reads in order, but predicate / elicitation batches can sit in a different wave.
| Step | Stage | Batch ID | Status | When |
|---|---|---|---|---|
| creating | Elicitation | batch_69bd464b07f8819095aa76577c9829e4 |
completed | March 20, 2026, 1:06 p.m. |
| NER | Named-entity recognition | batch_69bd85c9cff48190900d234a7569cd5d |
completed | March 20, 2026, 5:37 p.m. |
| NED1 | Entity disambiguation (via context triple) | batch_69bf18c8db388190a31f55854e7370fc |
completed | March 21, 2026, 10:16 p.m. |
| NEDg | Description generation | batch_69bf19c8273081908a5138e9af921ec7 |
completed | March 21, 2026, 10:20 p.m. |
| NED2 | Entity disambiguation (via description) | batch_69bf1a3049648190b5040e587671610a |
completed | March 21, 2026, 10:22 p.m. |
Created at: March 20, 2026, 2 p.m.