Course Information

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.

Find this course for your license

License or Certification

Regulator

Objectives

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

Course Information

Adding additional credit may change exam requirements.

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