What is a common requirement when registering agents with a new broker-dealer?

When agents are registering with a new broker-dealer, one of the primary requirements is that they must submit a new Form U4. The Form U4, or Uniform Application for Securities Industry Registration or Transfer, is crucial because it provides the new broker-dealer with necessary information about the agent, including their employment history, disciplinary record, and personal information. This form must be filed with the Financial Industry Regulatory Authority (FINRA) as well as applicable state regulatory authorities.

Submitting a new Form U4 is essential for maintaining accurate records and ensuring compliance with regulatory requirements. It helps the new broker-dealer assess the qualifications of the agent and fulfill their obligations to conduct background checks and confirm that the agent meets the fit and proper standards.

The other options, while they may contain information relevant to agent registration or licensing, do not correctly answer the question regarding a common requirement in the process of registering with a new broker-dealer.