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Ordinance No. __917___ Summary On June 9, 2021, the City of Wellsville, Kansas, adopted Ordinance No. __917___ amending the City Code to make it consistent with Kansas State law which now allows expanded

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Obtain a copy of the Form U-4 from the appropriate regulatory authority.

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Fill out personal information such as name, address, date of birth, and social security number.

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Provide information on any past employment and disciplinary history.

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Who needs form u-4 is maintained?

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Form U-4 is typically maintained by individuals seeking to become registered with a broker-dealer or investment advisor.

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Broker-dealers and investment advisors also need to maintain Form U-4 for all registered representatives as part of their regulatory compliance obligations.

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What is form u-4?

Form U-4, Uniform Application for Securities Industry Registration or Transfer, is used by individuals to register with the Financial Industry Regulatory Authority (FINRA) and state securities regulators.

Who is required to file form u-4?

Individuals seeking to register as a securities representative, such as brokers or dealers, are required to file Form U-4.

How to fill out form u-4?

Form U-4 can be filled out online through a registered firm’s compliance or registration department or by using a paper form. It requires personal identification information, employment history, and regulatory disclosures.

What is the purpose of form u-4?

The purpose of Form U-4 is to collect information necessary for regulators to assess the qualifications and background of individuals wishing to work in the securities industry.

What information must be reported on form u-4?

Form U-4 requires personal information, employment and educational history, disciplinary history, and participation in any regulatory proceedings, as well as disclosures regarding any financial disclosures.

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