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.