Updating information on my u4

Purpose of the Forms and Discussion of Recently Approved Changes & Requirements The Financial Industry Regulatory Authority (FINRA), is the largest independent regulator for all securities firms doing business in the United States, and is the entity designated as the filing depository by the U. Securities and Exchange Commission for purposes of the Investment Advisers Act of 1940.

There are currently six different Uniform Registration Forms that are used to file information with FINRA.

The firm can provide the RR with the link to the Web CRD Registered Representative Site and after logging on to the site, the RR will be prompted to enter the reference number which will allow him or her to access and edit the pending Form U4 filing.

Emulex Fibre Channel Adapter Driver Update – The driver for Emulex Fibre Channel Adapters has been upgraded to version 7.4.0.40.

The answers to these questions are general in nature (not state specific), are not intended as a comprehensive review of this topic and do not include or account for all of the exceptions or variances involved in filing a Form U4 to register an individual as an investment adviser representative of a registered investment advisor firm.

Not providing proper disclosure for any information on the Form U4 may result in various sanctions including, but not limited to, fines, suspensions, or even being barred from acting as an investment adviser representative.

Firms can allow their RRs to edit a pending Form U4 filing in Web CRD.

The firm user must select the ‘Allow Rep Edits’ feature in Web CRD for the specific U4 filing and provide the RR with the reference number of that filing.

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