Statutes, codes, and regulations
New Jersey Administrative Code
Title 13 - LAW AND PUBLIC SAFETYChapter 47A - BUREAU OF SECURITIES
Subchapter 11 - FORMS
Section 13:47A-11.3 - Uniform Application for Securities Industry Registration or Transfer (Form U4)

N.J. Admin. Code § 13:47A-11.3

Download
PDF
Current through Register Vol. 56, No. 21, November 4, 2024
Section 13:47A-11.3 - Uniform Application for Securities Industry Registration or Transfer (Form U4)

The Uniform Application for Securities Industry Registration or Transfer (Form U4) is promulgated by the SEC and is available on-line at http://www.finra.org.

N.J. Admin. Code § 13:47A-11.3

Amended by R.1997 d.451, effective 10/20/1997.
See: 29 N.J.R. 3119(a), 29 N.J.R. 4463(a).
Amended by R.2008 d.301, effective 10/6/2008.
See: 40 N.J.R. 2061(a), 40 N.J.R. 5820(a).
Section was "Uniform Application for Securities Industry Registration or Transfer (Form U-4)". Substituted "U4" for "U-4" and updated the website address.