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 U4 2009-2025

U4 2009-2025 Form

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Instructions and help about rev form u4 05 2009

Has your Broker DEvaler advised you that they're going to be running a background check on you to verify the accuracy of the information and the completeness of the information on your form u4 does that have you a little trouble hi I'm securities regulation and turning Joel back for the Beck law firm LLC in Marysville Georgia and in today's short video we'll talk about the genesis behind this push by firms to dig into your background and check the information on your form you for you know it was probably early in 2014 when there was some investigative reporting done that identified some issues with respect to the accuracy and completeness of certain information on certain brokers form you for information that was then put in C Rd and made it's way on to the broker check system some reporters found that there were many brokers who had unreported bankruptcies or liens or civil judgments against them, and they raised a question as to why these weren't being reported well FINRA responded p

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