U4 and U5 Flashcards
1
Q
Required information on U-4
A
5 years residency and 10 years employment
2
Q
Before signing U-4 Principal must verify
A
Employment history for 3 years
3
Q
Late filing fee for U-5 after
A
30 days
4
Q
Amendment for for B/D how many days
A
30 days
5
Q
If member learns of facts after the fact on U-5 it has this many days to amend it
A
30 days
