Agent's Registration Requirements specify filing Form U-4.

• A. Form U-4
• B. Form U-5
• C. Form ADV
• D. Form BD

Answer: (A)

The form used for registering individual securities agents is Form U-4. This is the uniform application that a broker-dealer files on behalf of an agent to register the person with FINRA member firms and state securities regulators. It collects personal and employment history, disclosures of disciplinary actions, and includes consent to background checks (often fingerprinting). It’s the vehicle for initial registration and for reporting changes; Form U-5 is used when a registration is terminated, Form ADV for investment adviser firms and their representatives, and Form BD for firm registration. So agent-registration requirements specify Form U-4 because it directly handles the individual’s registration with the regulators.