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How do I find my U4?

How do I find my U4?

Firms can access historical U4 filings from the Site Map or the Forms tab. NOTE: Non-FINRA users will only see the ID of users from their own organization. Select the filing ID to view the filing.

Is Form U4 public?

However, once a securities regulator has approved a Form U4 filing, this will become a public record accessible via the Investment Adviser Public Disclosure (“IAPD”) website.

How do I find my finra report?

Visit FINRA BrokerCheck or call FINRA at (800) 289-9999. Or, visit the SEC’s Investment Adviser Public Disclosure (IAPD) website. Also, contact your state securities regulator.

Where can I find my IARD number?

The IARD was built and is operated by the Financial Industry Regulatory Authority (FINRA). Additional information about IARD can be found on FINRA’s IARD website, http://www.iard.com and on NASAA’s website, http://www.NASAA.org.

Who fills out a U4?

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.

What has to be disclosed on a U4?

Any civil litigation settled for more than $15,000 and any civil judgment must be disclosed, as well as any types of liens and judgments or regulatory actions regarding other professional licenses (e.g., being suspended from the practice of law), also must be set forth in Section 14 of the U4.

Does FINRA do a credit check?

Although FINRA expressly disclaims any “requirement” to obtain credit reports on applicants, FINRA does include the review of credit reports among the ways the rule can be satisfied, along with (1) fingerprint checks, (2) searching a reputable national public records database, such as LexisNexis, and (3) reviewing a …

How far back does FINRA check go?

10 Years
Individuals Registered Within the Past 10 Years A BrokerCheck report for a broker who is currently registered with FINRA or a national securities exchange, or who has been registered within the last 10 years, contains: A report summary that provides a brief overview of the broker and his or her credentials.

Where can I find my private fund identification number?

[2] A private fund identification number is a unique identification number for each fund. Advisers must obtain an identification number for each private fund by logging onto the Investment Adviser Registration Depository (IARD) Web site and using the private fund identification number generator.

Is IARD same as CRD?

Web CRD is a state-of-the-art Web application for the registration of broker/dealers and their representatives. IARD provides regulators with the ability to monitor and process Investment Adviser information via a single, centralized system.

How long does it take finra to approve U4?

2-3 weeks
The typical timeframe is 2-3 weeks to receive a decision from FINRA. The process can take longer if Tina provides inaccurate or incomplete information on the form. After Jason provides an overview of the form, Tina begins completing her U4 form online.

Do I need to disclose on an U4 form?

Form U4 Items 14A and 14B – Criminal Disclosure. In Items 14A and 14B of the U4, applicants must disclose information about certain criminal charges and convictions, including disclosure of all felony convictions and certain misdemeanor convictions.

What is form 10 filing?

SEC Form 10 is a filing with the Securities and Exchange Commission (SEC), also known as the General Form for Registration of Securities. It is used to register a class of securities for potential trading on U.S. exchanges.

What is a SEC form id?

The Form ID is an electronic application that all new filers must complete before gaining access to EDGAR. All new entities (individuals or companies) complete Form ID in order to obtain access codes that permit them to file SEC forms on EDGAR.