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Information Notice Change to Form U4 Regarding the Reporting of Judgment/Lien Events Effective Date: October 26, 2013, Executive Summary FINRA is amending the Form U4 to update the Judgment/Lien Disclosure
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What is information notice 10-25-13?
Information notice 10-25-13 is a form or notice issued by a regulatory body or authority which contains specific information or instructions.
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Entities or individuals as specified by the regulatory body or authority are required to file information notice 10-25-13.
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Information notice 10-25-13 should be filled out following the guidelines and instructions provided by the regulatory body or authority.
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The purpose of information notice 10-25-13 is to collect specific data or information for regulatory or compliance purposes.
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Information notice 10-25-13 typically requires reporting of specific data or information as outlined by the regulatory body or authority.
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