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FINRA Information Notice: Change to Form U-4 Regarding the Reporting of Judgment/Lien Events

FINRA released the attached information letter in order to amend Form U-4 (the form on which employees are registered). The amended form updates the Judgment/Lien Disclosure Reporting Page (DRP) to add a question regarding the date a registered person learns of an unsatisfied judgment or lien.

The amendments are effective October 26, 2013.

See: FINRA Information Notice.

Tags

Regulated Activities
Employee Matters Governance
Sub-Activity
Hiring / Firing, Regulatory Personnel Changes
Regulated Entities
Broker-Dealers Regulatory Agencies
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
FINRA