WebEffective March 4, 2013, when a firm files a Form U4 amendment involving a criminal matter, regulatory action, civil judicial or customer complaint/arbitration/civil litigation, the filer will be presented with the option to apply the information in the Form U4 amendment to satisfy a Rule 4530(a)(1) reporting requirement. WebThe Form U4 requests specific information regarding an individual’s disclosures. The information disclosed on the form pertains to: Charges or convictions of a felony; Charges or convictions of a felony for activities that occurred in an organization that the individual exercised control over;

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WebDRP stands for Disclosure Reporting Page. It is actually several pages used to answer question #14 on the Form U4. Most of the questions begin with "Have you ever . . ." and ask about disciplinary actions inside and outside of the securities industry. A yes answer to some of the questions can lead to statutory disqualification. WebThe Form U4 is the Uniform Applica tion for Securities Industry Registration or Transfer. Representatives of broker- dealers, investment advisers, or issuers of securities must use the Form U4 to become registered in the appropriate jurisdictions and with the appropriate self -regulatory org anizations ( SROs ). indianola ms in what county

Disclosing on Your U4: No Turning Back Financial Planning

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