SIE Exam Practice Question 754
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?
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.
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