A registered representative changes her residential address and also is charged with a felony. Which of these events requires an amendment to her Form U4?

Giải thích

Form U4 must be kept current, so material changes such as a residential address change and reportable events like a felony charge both require timely amendments. Disclosure events generally must be updated within 30 days of the firm learning of them, and certain statutory disqualification events must be reported promptly. Keeping the U4 accurate is a shared responsibility of the firm and the individual.