Updating information on my u4


13-Aug-2019 18:35

While the public record search responsibility entails performing, at minimum, a national review, FINRA encourages firms to perform more in-depth research on applicants based on job function, responsibilities, and position to be held at the firm.

Despite the level of research being implemented, the Form U4 verification must be completed within the specified timeframe after filing with FINRA.

It may be helpful to consult with an employment attorney to ensure that your written procedures and research process will comply with FCRA obligations should you use the services of a third-party provider.

With its new background check rule, FINRA hopes to streamline the screening process of securities professionals for registration and obtain more relevant and accurate information to combat fraud and educate investors.

Although the updated FINRA background check requirements may seem daunting, and will most certainly require additional time and cost to complete, the overall process will benefit member firms by providing a clearer picture on the person they are hiring.

To accomplish this, you will need to either take the time to fully explore the availability and access methods concerning public records research or partner with a trusted investigative professional to help maintain compliance. Please send us an email at [email protected] topics that you want to hear about, serious topics, pet peeves of yours, and pretty much anything that is on your mind.

By streamlining and clarifying the background check responsibility of member firms, FINRA hopes to include more relevant and accurate information regarding broker-dealers and registered individuals for inclusion in its Web CRD and Broker Check databases.They should also be able to provide information on the appropriate type of background research for all levels of employment and responsibility within your firm.Should you decide to source out your FINRA background check research to a third-party provider, you may want to review this article with tips on evaluating a background screening firm.Since there may be some research that will fulfill aspects of the character assessment or public record check requirements, these elements are not mutually exclusive.

The research procedures were designed to enhance the overall background and character verification process.

Additionally, in the event you uncover relevant civil litigation or judgments, retrieving the necessary court records from the appropriate clerk’s office could take up extra valuable time.



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