Form U4 Checklist

Note: The Form U4 is available in PDF form.

 

Check Box Has the member Applicant submitted a Form U4 application for each officer, partner, director, and employee that must be registered? (See Form U4 instructions to determine if a complete or partial filing is appropriate for the individual.)
Check Box Have all items on Form U4 been answered?
Check Box Have Section 15A (Individual/Applicant’s Acknowledgment and Consent) and Section 15B (Firm/Appropriate Signatory Representation) been completed?
Check Box Has the Applicant submitted a FINRA fingerprint card in connection with each Form U4 filed?
Check Box Does the "Employment Date" in Section 1 (General Information) and Section 6 (Registration Requests with Affiliated Firms) (if applicable) include a month, day, and year?
Check Box Have the appropriate categories of registration under Section 4 (SRO Registrations) or Section 5 (Jurisdiction Registrations) been selected for the types of product(s) and the functions to be engaged in by the individual? (Note that if boxes are checked under these items, fees will be charged and examinations will be scheduled.)
Check Box If the individual passed a FINRA qualification examination or the Series 63 state law examination while employed by a non-FINRA member firm, has the Applicant submitted a copy of the passing grade result so that FINRA does not schedule the examination?
Check Box If applicable, has the Applicant submitted an examination waiver request to the Form U4 application?
Check Box

If any items in Question 14 have been answered "YES," has the Applicant provided completed details on a Schedule DRP? (See Form U4 instructions.) Where appropriate, has the Applicant’s Form BD also been completed to disclose this information? (See Form BD, Question 11 and the Form BD instructions.)

 

The Form U4 may not be submitted before a membership application has been submitted for the broker-dealer. The Applicant may contact FINRA at (301) 590-6500 for assistance with Form U4 filings.