Get Instructions For Completing The Revised Form U4

This guide aims to provide clear and comprehensive instructions on how to complete the revised form U4 online effectively. The form is a crucial document in the registration process for securities industry professionals, and understanding how to fill it out correctly is essential for ensuring compliance.

Follow the steps to complete the revised form U4.

1. Press the ‘Get Form’ button to obtain the revised form U4 and open it in your preferred editor.
2. Read the general instructions thoroughly to understand the purpose of the form and required details.
3. Fill out Section 1: General Information. Provide your first name, middle name, last name, suffix, employment date, Social Security number, and office of employment address. Ensure all fields are accurately completed.
4. Proceed to Section 9: Identifying Information/Name Changes. Complete this section only if applicable, ensuring all details are accurate.
5. In Section 11: Residential History, start with your current address and provide information for all residences over the past five years. Each entry must be complete.
6. Move to Section 12: Employment History. Start with your current employment and provide the details for all jobs in the past ten years, accounting for any periods of unemployment or education.
7. Complete Section 13: Other Business, indicating any current engagement in other businesses. Provide all relevant details if applicable.
8. Answer the questions in Section 14: Disclosure Questions diligently. If you respond 'Yes' to any questions, prepare to provide additional information on the required Disclosure Reporting Page.
9. Review Section 15: Signatures carefully. Sign, date, and print your name as per the instructions. Remember, a wet signature is necessary.
10. After completing the form, you can save your changes, download, print, or share the completed document with the appropriate parties as instructed.

Complete the form online to ensure accurate and efficient submission.