Statements (26)
| Predicate | Object |
|---|---|
| gptkbp:instanceOf |
regulatory form
|
| gptkbp:administeredBy |
gptkb:FINRA
state securities regulators |
| gptkbp:contains |
personal information
employment history disclosure information examination history |
| gptkbp:filingDate |
CRD system
|
| gptkbp:filingTriggers |
amendment to existing registration
new registration transfer of registration |
| gptkbp:fullName |
Uniform Application for Securities Industry Registration or Transfer
|
| gptkbp:governedBy |
gptkb:Securities_Exchange_Act_of_1934
state securities laws |
| https://www.w3.org/2000/01/rdf-schema#label |
Form U4
|
| gptkbp:relatedTo |
gptkb:Form_U5
gptkb:Form_U6 |
| gptkbp:requires |
individuals seeking registration as principals
individuals seeking registration as representatives |
| gptkbp:usedBy |
broker-dealers
investment advisers |
| gptkbp:usedFor |
registering individuals with FINRA
registering individuals with states registering individuals with other self-regulatory organizations |
| gptkbp:bfsParent |
gptkb:Central_Registration_Depository
|
| gptkbp:bfsLayer |
7
|