Khung pháp lýCâu 365 / 398
When a person applies to become registered as an associated person of a member firm, which form does the firm submit on their behalf?
a.Form U4 (Uniform Application for Securities Industry Registration)
b.Form BD
c.Form U5 (Uniform Termination Notice)
d.Form 10-K
Giải thích
Form U4 is the Uniform Application for Securities Industry Registration or Transfer, filed by a member firm to register an associated person. It collects the applicant's employment, disciplinary, and background information. Form U5 is used later, upon termination of employment.
Trích dẫn luật: FINRA RulesLuyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- Which federal agency has ultimate authority to oversee the U.S. securities markets and the self-regulatory organizations that operate within them?
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