Then review the Information with your supervisor and supply your firm with any updated or missing information. ![]() Speak with your firm to receive a copy of your Form U4, or access FINRA’s FinPro (Financial Professional Gateway) to view your record. This includes not only disclosure events but also administrative information such as employment address, residential address and other business activities. It is also important that your firm amend your Form U4 in a timely manner ( i.e., within 30 days) when an event or proceeding occurs that renders a previous response inaccurate or incomplete. Once you register, you will receive a unique CRD number that you will use throughout your career in the securities industry. Please see the FBI’s website for more information on the challenge process. The procedure to challenge ( i.e., to change, correct or update) CHRI is administered by the Federal Bureau of Investigation and is set forth in 28 CFR §16.34. If your fingerprint check results in the return of Criminal History Record Information (CHRI), you are afforded an opportunity to review the CHRI and, if you believe it is inaccurate, you may challenge it. FINRA forwards your fingerprints to the Federal Bureau of Investigation (FBI) for processing. In addition to providing administrative and disclosure information via the Form U4, you are also required to provide your Social Security number and a fingerprint card (Rule 17f-2 under the Securities Exchange Act of 1934) in order to continue the registration process. If FINRA discovers that relevant information has been omitted from the Form U4 or any information reported on the form is misleading, FINRA may take a regulatory action against you and/or your firm. It is important that all of the information you supply on your Form U4 is complete, up-to-date and accurate. The Form U4 collects administrative information ( e.g., residential history, employment address, other business activities) and disclosure information ( e.g., criminal, civil judicial, financial events). Registrationįor you to become registered as a securities professional, your firm must file a Uniform Application for Securities Industry Registration or Transfer, commonly referred to as the Form U4, via the CRD system. Note: Functions can vary depending on your registration status and what your firm permits.
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