Series 22: Disclosure Reporting To FINRA: Form U4

Disclosure Reporting to FINRA: Form U4

All individuals registered with FINRA must have a Form U4 on file with FINRA. This is the form that is submitted by the member firm when an employee begins the process of becoming registered. Aside from his personal identification and residential and employment history, an associated person must report on his Form U4:

• his criminal history

• any civil judicial proceedings

• bankruptcy judgments and liens

• customer complaints filed against him

• prior terminations due to improper behavior

• financial disclosures such as bankruptcy proce