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Form U4

Representatives of broker-dealers, investment advisers or issuers of securities must be registered with the appropriate jurisdictions and/or self-regulatory organizations (SROs). 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.

CRD Is Moving to FINRA Gateway: Classic CRD Features Retiring August 21

FINRA is integrating the registration filing functionality that supports the CRD Program into FINRA Gateway. The deployment of registration compliance tools will be incremental over time, so firms should expect to use both Classic CRD and FINRA Gateway until the integration is complete.

On August 21, the following Classic CRD features are scheduled to retire:

  • View Individual
  • View Organization
  • Branch Composite View
  • Individual Search
  • Branch Search (also known as Organization Search)
  • Form U5 Filing Capabilities
  • Several Classic CRD Reports

Individual disclosure letters in Classic CRD will not retire August 21, and all other current Classic CRD functionality will be supported. Form U5 drafts that are not submitted before August 21 will be invalidated, but a read-only version will be made available through September 25 in Classic CRD.

Retirement dates for other functionality will be announced as they become available. See the Registration Filing in FINRA Gateway page for more details.

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Who Files a Form U4?

FINRA-member broker-dealers are required to file Forms U4 on behalf of proposed associated persons under FINRA Rule 1013.

Entitled system users at broker-dealer and investment adviser firms can file Form U4 electronically to fulfill securities registration and licensing requirements for registered representatives and investment adviser representatives.

Although they cannot initiate or submit a Form U4 filing, registering and registered representatives can collaborate with firms on a draft if the Allow Rep Edits feature is enabled in a draft. More information about this feature is provided in the next section.

What Is the Allow Rep Edits Feature?

Firms can grant an individual access to edit a pending Form U4 filing by enabling the Allow Rep Edits feature in a draft Form U4 filing. Once enabled, the individual who is the subject of the filing will be able to access and update the draft in FinPro (the Financial Professional Gateway). The Allow Rep Edits feature allows firms to restrict the level of access provided to the draft in FinPro, and the individual can notify the firm through the system when the draft is ready for final review and submission. Allow Rep Edits does not grant individuals the ability to submit a filing to regulators.

What Must Be Included?

An initial Form U4 filed for an individual that has never been registered or for an individual that has not been registered with a FINRA member firm within 30 calendar days must include responses to all applicable sections. Firms and Applicant firms must complete a Disclosure Reporting Page (DRP) for each affirmative response to Section 14 (Disclosure Questions).

A Form U4 filed on behalf of an individual that has been FINRA-registered with another broker-dealer within 30 calendar days should complete all applicable sections with the exception of Section 9 (Identifying Information/Name Change), Section 10 (Other Names), Section 11 (Residential History), Section 12 (Employment History) and Section 13 (Other Business).

Sample Form U4

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Access Requirements

Filers require the following entitlement privileges to access and submit Form U4:

  • Form Filing: This entitlement controls access to the uniform forms used to submit registration-related information about firms, their branches and associated individuals.
  • Form U4: Filers require this privilege to initiate, retrieve and submit a pending Form U4 filing. It also controls access to historical Form U4 filings through the filing history in CRD. However, users can also access this information through an individual’s CRD record if they have the appropriate entitlements.

Registered industry professionals will only be able to access a draft Form U4 filing if the firm enables “Allow Rep Edits” within a draft Form U4. Access to this feature is not controlled through system entitlements or Firm Settings.

When Must a Form U4 Be Updated?

Registered individuals are under a continuing obligation to update changes to information required by Form U4 within a specified amount of time by filing an appropriate amendment, as prescribed in Article V, Section 2 of the FINRA By-Laws.

The filing firm is obligated to retain and make available for inspection upon regulatory request a copy of the initial Form U4 and amendments to Disclosure Reporting Pages as stated in FINRA Rule 1010 and the instructions to the Form U4.

Individuals should read the Manage Your Career Guide for more information about registration requirements.