SIE Exam Question 754: Answer and Explanation

Question: 754

Which of the following forms is the "Uniform Application for Securities Industry Registration or Transfer," which representatives of broker-dealers, investment advisers, or issuers of securities must fill out in order to become registered in the appropriate jurisdictions?

• A. Form U4
• B. Form U5
• C. Form U6
• D. Form U7

Correct Answer: A

Explanation:

Form U4 is the "Uniform Application for Securities Industry Registration or Transfer," which representatives of broker-dealers, investment advisers, or issuers of securities must fill out in order to become registered in the appropriate jurisdictions.