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As a financial advisor, youre required to file a Form U4 with FINRA. This form asks for disclosure of any reportable events based on when they occurred. This could include anything from a misdemeanor arrest to a customer complaint.
What items are reportable on the U4?
The Form U4 questions 14K and 14M require the disclosure of tax liens, unsatisfied judgments, bankruptcies, and compromise[s] with creditors. Issues arise when advisors are either unaware that such items are required to be disclosed, or theyre unaware of the consequences of failing to make the disclosures.
What is a form U4?
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.
How do I access my U4 form?
Retrieving Reviewing Form U4 Once your firm has sent a Form U4 filing to you for e-signature, a yellow banner will display in FinPros Reminders section with a link to the filing. After clicking the Open Filing link, the filing will open read-only in another browser tab.
What events must be reported on a U4?
Form U4 mandates disclosing significant financial events, such as bankruptcies, liens, judgments, and unsatisfied debts. These financial disclosures are particularly relevant in the securities industry, where fiduciary responsibility is critical.
form u4
Form U4 PDFForm U5FINRA Form U4Form U4 INSTRUCTIONSForm U4 employment historyForm u4 downloadForm u4 templateFINRA U4 reportable events
WHAT DISQUALIFIES YOU ON A U4? Any violations of securities or financial-related laws or regulations will disqualify a person on a U4. Additionally, all Felony convictions and certain misdemeanor offenses involving fraudulent pretenses within the previous 10 years are disqualifications.
What crimes should be reported to FINRA?
Effective July 15, 2002, these amendments will require the reporting of the following criminal offenses under Rule 3070(a)(5): any felony; misdemeanors involving the purchase or sale of any security, the taking of a false oath, the making of a false report, bribery, perjury, burglary, larceny, theft, robbery, extortion
form u4 fillable
Rev. Form U4 (05/2009)
REFER TO THE EXPLANATION OF TERMS SECTION OF FORM U4 INSTRUCTIONS FOR EXPLANATIONS OF ITALICIZED TERMS. YES. NO. Criminal Disclosure. 14A. (1).
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