Updating information on my u4
Until recently, individuals were required to update their residential address by completing a CRD Change of Address Form and submitting it to FINRA .
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.Recently approved changes to Rule 1010 now permit a firm to file amendments to Form U4 disclosure information without obtaining the registered person’s manual signature if the firm uses reasonable efforts to: (1) provide the registered person with a copy of the amended disclosure information prior to filing and (2) obtain the registered person’s written acknowledgment (which may be electronic) prior to filing, that the information has been received and reviewed. This is done by submitting a Form U4 amendment electronically through Web CRD unless the filer is an approved paper filer.The effective date for these changes — with the exception of the new regulatory action disclosure questions — was May 18, 2009.
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As discussed in more detail below, the effective date for the new regulatory action disclosure questions was November 14, 2009.
The amended rule also requires that firms adopt written procedures that will require them to search public records to complete their pre-hire due diligence.
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