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Form U4 Uniform Application for Securities Industry Registration or Transfer [Rev. Form U4]
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The OCLC Open WorldCat number for the electronic document record is '830324782'.
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.Rev. Form U4 (05/2009) Form U4 Uniform Application for Securities Industry Registration or Transfer GENERAL INSTRUCTIONS The Form U4 is the Uniform Application for Securities Industry Registration or Transfer. Representatives of broker-dealers, investment advisers, or issuers of securities must use this form to become registered in the appropriate jurisdictions and/or SROs. These instructions apply to the filing of Form U4 electronically with the Central Registration Depository ("CRD(R)") or the Investment Adviser Registration Depository ("IARDSM"). Filers submitting paper filings should read the Special Instructions for Paper Filers in conjunction with the other instructions to the form. In addition, paper filers should contact the appropriate jurisdiction and/or SRO for specific filing instructions or requirements. Filers must answer all questions and submit all requested information, unless otherwise directed in the Specific Instructions. Use the Disclosure Reporting Page(s) (DRPs
Jefferson Terrace, Ste. 300A
Document Descriptive Information
- Date Accepted Into Depository: Fri, 24 Aug 2012 17:22:40 UTC
- Checksum Algorithm: MD5 SHA1
- Document File Checksum:
- 20120719195658_p015111.pdf - checksum='3398877297' byte count= '106256'
Other Descriptions Supplied by the Issuing Agency
- contactCity: Springfield
- contactOrganization: Illinois Secretary of State. Securities Department
- contactPhoneNumber: 217-782-2256
- contactState: IL
- contactStreetAddress2: 300 W. Jefferson St.
- contactZipCode: 62702
- dateCreated: 05 12 2009
- dateLastModified: 05 14 2009
- description: The Form U4 is the Uniform Application for Securities Industry Registration or Transfer. Representatives of broker-dealers, investment advisers, or issuers of securities must use this form to become registered in the appropriate jurisdictions and/or SROs.
- govType: State
- language: EN-English
- numberOrIssue: May
- originallyProvidedURL: http://www.finra.org/web/groups/industry/@ip/@comp/@regis/documents/appsupportdocs/p015111.pdf
- originatorDepartment: Office of Secretary of State
- originatorJurisdiction: Illinois
- originatorOffice: Illinois
- volumeOrYear: 2009