Yuav ua li cas mus rau ib tug u4?
Yuav ua li cas mus rau ib tug u4?

Video: Yuav ua li cas mus rau ib tug u4?

Video: Yuav ua li cas mus rau ib tug u4?
Video: Hi So -HLUB MUS IB TXHIS-DaVang (Official MV nkauj tawm tshiab 2020) 2024, Kaum ib hlis
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Cov U4 , tseem hu ua Uniform Application for Securities Industry Registration or Transfer, yog lub tsheb loj tshaj plaws uas cov koom haum tswj hwm (FINRA, lub xeev, thiab kev sib pauv) tshuaj xyuas cov neeg sib tw rau npe thiab cov neeg sau npe rau kev sau npe tshiab lossis txuas ntxiv.

Raws li, dab tsi yog nyob rau ntawm u4?

Daim ntawv U4 yog Uniform Application for Securities Industry Registration or Transfer. Cov neeg sawv cev ntawm cov neeg muag khoom, cov kws tshaj lij kev lag luam, lossis cov tuam txhab lag luam yuav tsum siv daim ntawv no los ua npe rau hauv cov cai tsim nyog thiab / lossis SROs.

Thaum twg kuv yuav tsum hloov kho kuv u4? Daim ntawv U4 yuav tsum tau hloov kho tsis pub dhau 10 hnub tom qab kawm txog qhov xwm txheej tsis tsim nyog. Rau tag nrho lwm hom kev hloov kho, Daim Ntawv Foos U4 yuav tsum feem ntau yog kho tshiab tsis pub dhau 30 hnub tom qab kawm qhov tseeb lossis qhov xwm txheej uas ua rau muaj hloov tshiab.

Hais txog qhov no, kuv yuav tsum qhia dab tsi ntawm u4?

Hauv cov khoom 14A thiab 14B ntawm cov U4 , cov neeg thov yuav tsum nthuav tawm cov ntaub ntawv hais txog qee qhov kev foob txhaum cai thiab kev txiav txim siab, suav nrog qhia tawm ntawm tag nrho cov kev txiav txim txhaum cai thiab qee qhov kev txiav txim txhaum cai.

Kuv yuav hloov kho kuv u4 li cas?

Cov kauj ruam rau Ua ntaub ntawv ib Hloov tshiab xa ib hloov tshiab : Nkag mus rau Web CRD lossis Lub Rooj Sib Tham Ua Haujlwm kom xa daim ntawv foos U4 kev hloov kho: https://ews.finra.org. Saib daim ntawv U4 thiab cov lus qhia. Tshawb xyuas Web CRD Cov Lus Qhia Ceev Qhia ntawm Daim Ntawv U4.

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