Rev form u4 05 2009 uniform application for securities industry registrati o n or transfer individual name individual crd firm name firm crd page 2 of 39 3 registration with unaffiliated firms some jurisdictions prohibit dual registration which occurs when an individual chooses to maintain a concurrent registration as a. Dual registration and finra supervision by dan legaye firm2 notwithstanding the current status of rule 3030 finra is proposing to adopt rule 3030 as finra rule 3270 outside business activities of registered persons in the consolidated finra dual registrant by aiding the firms understanding. Your firm should submit a dual registration u4 filing if the firm is jointly registered the firm should choose amendment to add an ag registration the non filing firm can submit a concurrence filing through form filing or the other firm u4 filing queue finra will notify the appropriate regulator if the material difference has not . Uniform application for securities industry registration or transfer individual name firm name individual crd firm crd finra nyse amex nqx qualifying examinations will be automatically scheduled if needed if you are only scheduling or re scheduling an exam skip this section and complete section 7 examination requests
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