What is Form U4 and What Sections are on it?

Form U4 is the Uniform Application for Securities Industry Registration or Transfer.  Representatives of broker-dealers, investment advisers, or issuers of securities must fill out the Form U4 to become registered in the appropriate jurisdictions and/or SROs.  The form is filled out electronically within the Central Registration Depository (“CRD”) or the Investment Adviser Registration Depository (“IARD”).

Form U4

Filers submitting paper filings should read the Special Instructions for Paper Filers which can be found on FINRA’s website.  Furthermore, paper filers should contact the appropriate jurisdiction and/or SRO for specific filing instructions or requirements. If any information changes, the individual must update the form appropriately. Please note, that paper filings generally are not permitted for broker-dealer registrations. When applying for the first time, you must file a complete Form U4. Also, filers must answer all questions and submit all requested information, unless otherwise directed in the Specific Instructions.

Sections Topics

Form U4 is comprised of fifteen sections.  The sections, with a snapshot of some of the information you will need, is below:

  1. General Information –
    • First Name
    • Middle Name
    • Last Name
    • Suffix
    • Firm CRD Number
    • Firm Name
    • Employment Date
    • Firm Billing Code
    • Individual CRD Number
    • Individual SSN
    • Independent Contractor
    • Office of Employment Address
    • Private Residence Check Box
  2. Fingerprint Information –
    • Electronic Filing Representation
    • Fingerprint Bar Code
    • Exceptions to the Fingerprint Requirement
  3. Registration with Unaffiliated Firms
  4. SRO Registrations
  5. Jurisdiction Registration
  6. Registration Requests with Affiliated Firms –
    • Affiliated Firm CRD Number
    • Affiliated Firm Name
    • Affiliated Firm Designation – Broker Dealer or Investment Adviser (BD/IA)
    • Affiliated Firm Billing Code
    • Independent Contractor
    • Office of Employment Address
    • Designation for Registrations with SROs and Jurisdictions Identical to Filing Firm
    • Designation for Registrations with SROs and Jurisdictions that Differ from Your Registrations with Filing Firm
    • Fingerprint Information for Affiliated Firms
    • Electronic or Other Filing Representation
    • Fingerprint Bar Code
    • Exceptions to the Fingerprint Requirement
  7. Examination Requests
    • Scheduling or Rescheduling Examinations
    • Other Box
  8. Professional Designations
  9. Identifying Information / Name Change –
    • First Name
    • Middle Name
    • Last Name
    • Suffix
    • Date of Birth
    • Firm Name
    • State / Province of Birth
    • Sex
    • Height
    • Weight
    • Hair Color
    • Eye Color
  10. Other Names
  11. Residential History
    • From (MM/YYYY)
    • To (MM/YYYY)
    • Street Address 1 / Street Address 2
    • City
    • State
    • Country
    • Postal Code
  12. Employment History
    • From (MM/YYYY)
    • To (MM/YYYY)
    • Name
    • Street Address 1 / Street Address 2
    • City
    • State
    • Country
    • Investment-Related Business
    • Position Held
  13. Other Business
  14. Disclosure Questions
  15. 14A. Felony Criminal Disclosure
  16. 14B. Misdemeanor Criminal Disclosure
  17. Signature
  18. 15A. Individual/Applicant
  19. 15B. Firm/Appropriate Signatory Acknowledgment
  20. 15C. Temporary Registration Acknowledgment
  21. 15D. Amendment Individual/Applicant’s Acknowledgment and Consent
  22. 15E. Firm/Appropriate Signatory Amendment Representations
  23. 15F. Firm Appropriate Signatory Concurrence

Disclosure Reporting Pages

Form U4 also contains Disclosure Reporting Pages (DRPS U4) which include the following:

Criminal DRP
Regulatory Action DRP
Investigation DRP
Civil Judicial DRP
Customer Complaint/Arbitration/Civil Litigation DRP
Termination DRP
Bankruptcy/SIPC/Compromise with Creditors DRP
Bond DRP
Judgement/Lien DRP

As changes occur, an individual is under a continuing obligation to amend and update information required by Form U4. Most importantly, be sure to file amendments electronically (unless the filer is an approved paper filer) by updating the appropriate section of Form U4. Furthermore, it is important to regularly review the information associated with your CRD number to ensure it is complete and accurate.

For more information, please see Form U4 Disclosure Obligations and FINRA Rule 3110(e): Form U4 Verification Process.

Visit FINRA for additional instructions on how to fill out the Form U4.

What to expect from the U4 and U5 filing process according to FINRA.

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