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.
On This Page
- The CRD Release Notes User Support page provides feature specific updates by date.
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.