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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 and FINRA Gateway: Classic CRD Form U4 Will Retire April 2021

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.

Form U4 filing is now available in both FINRA Gateway and Classic CRD. Firms are encouraged to begin using FINRA Gateway to file Form U4 in preparation for the retirement of Classic CRD Form U4 filing capabilities on April 5, 2021. See the Registration Filing in FINRA Gateway page for more details, including enhancements to the FINRA Gateway Form U4.

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Classic CRD

FINRA Gateway

Who Files a Form U4?

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.

FINRA member firms and Applicants are required to file Forms U4 on behalf of proposed associated persons under FINRA Rule 1013.

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 form section of CRD.
  • 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 the draft Form U4 filing. Individuals can collaborate with their firms in FinPro.

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.