Examples of Form U-4 in a sentence
The Chief Compliance Officer may approve such activity, only after applicable licensing requirements have been met and appropriate disclosures have been made in Parts 1, 2A and 2B of Form ADV and the individual’s Form U-4.
In addition, if applicable, the CD will ensure that a registered representative’s Form U-4 is updated with FINRA.
In addition, if applicable, the CD will ensure that a registered representative’s Form U4 is updated with the FINRA.
Such outside business activity may require an update to the Registered Representative’s Form U-4.
This information will be reported to MDI and may require an update to the Registered Representative’s Form U-4.
For those Employees with Securities Licenses: I have contacted Compliance with any changes to information that would require a Form U4 amendment, including a change of address, name change, addition of any new, or the discontinuance of any previously reported outside business activity, and any occurrence or matter which would change my answer to a disclosure question (e.g., arrests and other criminal or civil matters, regulatory events, tax liens and bankruptcies).
Notwithstanding anything to the contrary contained in any other document or agreement requiring arbitration, including, but not limited to, Form U-4, signed by any Party, the Parties agree that if the matter in controversy is, in whole or in part, a Dispute, then the provisions of this Article shall control such arbitration.
In addition, if applicable, the Compliance Department will ensure that a registered representative’s Form U-4 is updated with the NASD.
In addition, in connection with any approval of an outside activity, such approval may, at the discretion of the CCO, be subject to certain conditions deemed necessary or appropriate to protect the interests of the Company or any Client.In addition, to the extent that the Company files a Form U-4 for an Employee seeking to engage in an outside business activity, the Form U-4 will need to be updated to reflect the activity.
Outside business activity disclosures and decisions by the CCO will be maintained in an appropriate file and disclosed on Form U4, if applicable.