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All signatures required on this Form U4 filing must be made in this section. A signature includes a manual signature or an electronically transmitted equivalent. In addition I have taken appropriate steps to verify the accuracy and completeness of the information contained in and with this application. I have provided the applicant an opportunity to review the information contained herein and the applicant has approved this information and signed the Form U4. Is investigation pending A. Date Cl ...

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Versions	Form popularity	Fillable & printable
2009	4.9 Satisfied (402 Votes)

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How long does it take to file U4?

After the form has been completed it is sent electronically to the Central Registration Depository(CRD). FINRA will complete the review of the U4 filing within 15 days from when it is received. However, the process may take longer if the information on the form is inaccurate.

What is a U4?

GENERAL INSTRUCTIONS. The Form U4 is the Uniform Application for Securities Industry Registration or Transfer. Representatives of broker-dealers, investment advisers, or issuers of securities must use this form to become registered in the appropriate jurisdictions and/or SROs.

What is a U4 or U5?

Form U4 is used to establish that registration. FINRA, other self-regulatory organizations (SROs) and jurisdictions use Form U5 (Uniform Termination Notice for Securities Industry Registration) to terminate registration and, if relevant, details why an individual left the firm.

What is a U4 background check?

The Form U4 contains detailed information on past employment and disclosure history, including bankruptcy, liens/judgments, criminal history, and civil litigation. Within 30 days of filing Form U4, a \u201creasonably available public records\u201d search for information contained in U4 must be conducted.