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SR-FINRA-2021-003

Proposed Rule Change to Permit Firms to File a Form U4 Based on an Electronically Signed Copy of the Form

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 1010 (Electronic Filing Requirements for Uniform Forms) to permit firms to file a Form U4 (Uniform Application for Securities Industry Registration or Transfer) based on an electronically signed copy of the form.  In addition, FINRA proposes to make a conforming amendment to FINRA Rule 2263 (Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4).

Title Format - Size Status
Text of the Proposed Rule Change PDF - 368.73 KB
Notice of Filing and Immediate Effectiveness PDF - 244.59 KB