Information Notice 10/25/13

Change to Form U4 Regarding the Reporting of Judgment/Lien Events
Effective Date: October 26, 2013

Executive Summary

FINRA is amending the Form U4 to update the Judgment/Lien Disclosure Reporting Page (DRP) to add a question regarding the date a registered person learns of an unsatisfied judgment or lien. The amendments are effective October 26, 2013.

 

Questions regarding this Notice should be directed to the Gateway Call Center at (301) 869-6699.