SIE practice questioneasyForm U4
Which form is used to register an individual with FINRA as an associated person?
- AForm U5
- BForm ADV
- CForm 144
- DForm U4✓ Correct answer
Explanation
Why D — Form U4
Form U4 is used to register individuals with FINRA. Form U5 is for termination, Form ADV is for investment advisers, and Form 144 is for selling unregistered securities.
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