FINRA: Form U4 - A Tool for Transparency (EL-ELC268)

Overview

This course provides important reminders regarding the obligations that individuals have with Form U4 throughout different phases of their careers and proactive steps they can take to meet this obligation. 

Learning Objectives

This course aims to:

  • remind learners of the purpose of the Form U4; the obligations that individuals have regarding the Form U4, and the role that the Financial Professional Gateway system (FinPro), can play in facilitating them; and
  • emphasize steps that RRs and former RRs can take to be proactive in meeting their obligations at various points in their career.

Designed For

Registered Representatives


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License or Certification

Regulator

Type