BD- Broker-Dealer Form U4 Confirmation of Accuracy

The Form U4 Confirmation of Accuracy form is a useful tool for confirming the accuracy of Form U4 information in accordance with Article V Sec.2(c) of FINRA By-Laws.  Because FINRA requires that all Form U4 information must be kept current at all times, broker-dealer firms will use the Confirmation of Accuracy form as documentary evidence that a registered representative has reviewed and confirmed that all Form U4 information is accurate as of the date of review and signing. This form is typically used during initial U4 filings, annually during compliance meetings and/or periodically as material changes occur.

Version/Update: V.5/November 30, 2020

Total Page Count/Format: 1/.docx

Source/Author(s): Connexien