Form U4 definition
Examples of Form U4 in a sentence
The SEC permits certain items of information required on Form MA or MA-I to be provided by reference to such required information already filed by ▇▇▇▇▇ ▇▇▇▇▇▇▇ in its capacity as a broker-dealer on Form BD or Form U4 or as an investment adviser on Form ADV, as applicable.
Information provided by ▇▇▇▇▇ ▇▇▇▇▇▇▇ on Form BD or Form U4 is publicly accessible through reports generated by BrokerCheck at ▇▇▇▇://▇▇▇▇▇▇▇▇▇▇▇.▇▇▇▇▇.▇▇▇, and ▇▇▇▇▇ ▇▇▇▇▇▇▇’▇ most recent Form ADV is publicly accessible at the Investment Adviser Public Disclosure website at ▇▇▇▇://▇▇▇.▇▇▇▇▇▇▇▇▇▇▇.▇▇▇.▇▇▇.
Notwithstanding anything to the contrary contained in any other document or agreement requiring arbitration, including, but not limited to, Form U-4, signed by any Party, the Parties agree that if the matter in controversy is, in whole or in part, a Dispute, then the provisions of this Article shall control such arbitration.
In addition, the Adviser shall provide the Distributor with, and the Distributor shall have the right to receive, copies of any reports, complaints, documents or inquiries relating to the performance of the non-Distributor-employed Distribution Services Personnel, and any information that would affect the non-Distributor-employed Distribution Services Personnel's status of, or information on, his or her Form U-4 registration.
In addition, the Adviser shall provide the Distributor with, and the Distributor shall have the right to receive, copies of any reports, complaints, documents or inquiries relating to the performance of the non-Distributor-employed Distribution Services Personnel, and any information that would affect the non-Distributor-employed Distribution Services Personnel’s status of, or information on, his or her Form U-4 registration.
To Seller’s knowledge, the FINRA Form U-4s for Seller’s Registered Representatives are accurate, complete and current, and Seller is not engaged in any dispute with any Client that has not been reported on the Form U-4 of a Registered Representative.
Except as disclosed on Form BD or Form U-4, as applicable, or any amendment thereto, neither Polaris Broker nor, to the Knowledge of Polaris, any “associated person” has been permanently enjoined from engaging or continuing any conduct or practice in connection with any activity relating to the purchase or sale of any security.
Thereafter, within thirty (30) days after the firing of any new employee, Correspondent shall provide to Southwest a copy of such new employee's Form U4 and other documents available on the CRD.
The SEC permits certain items of information required on Form MA or MA-I to be provided by reference to such required information already filed by the Firms in its capacity as a broker-dealer on Form BD or Form U4 or as an investment adviser on Form ADV, as applicable.
If any of the above DRPs provides that a DRP has been filed on Form ADV, BD, or U4 for the applicable event, information provided by ▇▇▇▇▇▇▇ ▇▇▇▇▇ on Form BD or Form U4 is publicly accessible through reports generated by BrokerCheck at ▇▇▇▇://▇▇▇▇▇▇▇▇▇▇▇.▇▇▇▇▇.▇▇▇, and ▇▇▇▇▇▇▇ ▇▇▇▇▇’▇ most recent Form ADV is publicly accessible at the Investment Adviser Public Disclosure website at ▇▇▇▇://▇▇▇.▇▇▇▇▇▇▇▇▇▇▇.▇▇▇.▇▇▇.