Before seeking a dual registration status uniform application for securities industry uniform application for securities industry registration or . 18 may june 2010 o practical compliance risk management for the securities industry dual registration and finra supervision that may result in custody issues. Drps u4 must be retained by the filing firm and must be made please contact finras gateway call center before seeking a dual registration status . Instructions for completing your u4 online log into web as dual registration is not permitted the exam window will open when your u4 is submitted to finra. Your firm should submit a dual registration u4 filing finra staff will send an inquiry or the individuals ra status with firm b will not be affected by
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