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Who completes Form U4?

Who Files a Form U4? FINRA-member broker-dealers are required to file Forms U4 on behalf of proposed associated persons under FINRA Rule 1013.

What should be reported on U4?

FINRA Form U4 Reportable Events Business Activities Outside The Firm. Bankruptcies, Liens, Judgments. Update Your Address. Disclosures Involving Criminal Cases. Customer Complaints. Removing An Existing Disclosure.

How long does it take for a U4 to be approved?

Form U4 can be filed electronically by the broker-dealer firm on behalf of an associated person requiring registration. After the form is received electronically at the Central Registration Depository (CRD), FINRAs review is completed within approximately 15 days, barring any inaccuracies.

What is the difference between Form BD and U4?

Persons interested in becoming a dealer or agent must complete the Form BD and a Form U4. The Form BD is the general application for dealer registration and the Form U4 is completed for the individual pursuing registration as an Agent.

What is form U4 and 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.

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