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The Form U4 (Uniform Application for Securities Industry Registration or Transfer) is used to establish that registration. Items 20 - 27 — The Form U4 is the Uniform Application for Securities Industry.Registration or Transfer. Form U-4 Uniform Application For Securities Industry Registration Or Transfer Form. This is a Official Federal Forms form and can be use in FINRA. Item 9 - 520 — Financial Industry Regulatory Authority's (FINRA) Uniform Application for Securities Industry Registration or Transfer. Form U-4 (Uniform Application for Securities Industry Registration or Transfer). Use Form U-4 to register at least one agent of your firm in Connecticut. Read Section A-1. Items 1 - 12 — The Securities and Exchange Commission has published in the Federal Register the Privacy Act Systems of Records Notice for these records.