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What is FINRA form U4 rule?

The Form U4 (Uniform Application for Securities Industry Registration or Transfer) is used to establish that registration. FINRA, other self-regulatory organizations (SROs) and jurisdictions use the Form U4 to elicit employment history, disciplinary and other information about individuals to register them.

What needs to be reported on a U4?

The Form U4 requires registered representatives to disclose if they have ever been convicted of or pled guilty or nolo contendere (no contest) in a domestic, foreign, or military court to any felony or if they have been charged with any felony. The Form U4 also requires the disclosure of any conviction, guilty

How do I access my U4 form?

Retrieving Updating Form U4 If a firm has enabled the Allow Rep Edits feature within a draft Form U4, a yellow banner will display in FinPros Reminders section with a link to the filing. After clicking the Open Filing link, the draft Form U4 will open in Data Entry View within a new tab or window.

How long does it take FINRA to approve U4?

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 must be reported to FINRA?

FINRA Rule 4530 requires firms to report specified events; quarterly statistical and summary information regarding written customer complaints; and copies of specified criminal and civil actions. FINRA Rule 4530 was modeled after former [NASD Rule 3070] and former [NYSE Rule 351].

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