Registration of Agents and Continued Education

Question 1

Forum U4 and Hiring

Answer 1

Filled out by new hires at a firm. It details: 
10 year employment history
5 year resident history
legal name and any aliases
Any legal or regulatory actions

The firm is required to verify the last 3 years of employment.

All U4 forms are sent to CRD (Central Registration Depository) along with fingerprints.

The applicant is NOT required to disclose the following:
Marital Status
Educational Background
Income or Net Worth
However, they must declare any bankruptcy or any unsatisfied liens/judgments.