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Form U6

Regulators submit Form U6 filings to report disclosure events and disciplinary actions against individuals and organizations. FINRA also uses the form to report final arbitration awards against broker-dealers and associated persons.

Firms have an obligation to report U6 information on the appropriate registration form filing.

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Release Notes

Sample Form U6 for
CRD Individual

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Sample Form U6 for CRD Individual

Sample Form U6 for
CRD/IARD Organization

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Sample Form U6 for CRD/IARD Organization

Firm Reporting Obligations

Firms have an ongoing obligation to report new or amended disclosure information, including details reported via Form U6 by a regulator. When a regulator files a Form U6 pertaining to a firm, a currently registered individual or an individual formerly registered with the firm, the firm receives a notification and can access the reported disclosure details within the system. The Form U6 information can then be accessed and reported through a Form BD, Form U4 and/or Form U5 filing.

See the Registration Forms page for more information about reporting disclosure information on a particular Uniform Form.

Information reported via Form U6 that is deemed disclosable will be made available to the general public via BrokerCheck and the Investment Adviser Public Disclosure (IAPD) website.